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When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "bank" means (1) a banking institution organized under the laws of the United States, (2) a member bank of the Federal Reserve System, (3) any other banking institution, whether incorporated or
Program Agenda | October 25 – 27, 2022
All times listed are Eastern Time
Tuesday, October 25
12 – 1 p.m.
CEO Conversation
FINRA Vice President and Chief Diversity Officer Audria Pendergrass Lee provides opening remarks for a dialogue between FINRA President and CEO Robert Cook and Maeve DuVally, former managing director of Corporate Communications at Goldman Sachs. During this
(a) General
Except as set forth in paragraphs (b) and (c) of this Rule or otherwise set forth in this Rule Series, the compliance date for this Rule Series is the date of Commission approval.
(b) Clock Synchronization
(1) Each Industry Member shall comply with Rule 6820 with regard to Business Clocks that capture time in milliseconds commencing on or before March 15, 2017.
(2) Each Industry
INFORMATIONAL
Annual Compliance Certification and Designation of Chief Compliance Officer
Compliance Date: December 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
CCO
CEO
Certification
ComplianceRule 3013
Sec. 7.1 (a) FINRA Dispute Resolution shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Dispute Resolution or a committee member, or is or
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development, implementation,
NEW YORK and WASHINGTON, DC, May 4, 2010 – NYSE Euronext (NYSE: NYX) and the Financial Industry Regulatory Authority (FINRA) today announced that they have agreed that FINRA will assume responsibility for performing the market surveillance and enforcement functions currently conducted by NYSE Regulation. The agreement is subject to review by the Securities and Exchange Commission.
Syndicated conservation easements (SCETs), which are a common type of charitable conservation contribution, top the 2021 “Dirty Dozen” list of tax scams published by the Internal Revenue Service (IRS) in July.
SEC Approves New Rules Governing Communications With the Public
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014: