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FINRA Chairman and CEO Rick Ketchum is joined by lead governor Jack Brennan and Finance Committee Chair Jim Weddle to discuss rulemaking and other issues addressed at FINRA's December 5 Board of Governors meeting. In addition to the video, a summary of the board actions is also available.
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud. In addition to new scams focusing on COVID-19, previous scams may also find new life as fraudsters adapt to and exploit recent events and related vulnerabilities, especially those related to the remote working environment.
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 40 issues joining NASDAQ's National Market System on Tuesday, August 14, there will be over 1,053 issues trading under real-time trading reporting. These 40 issues meet the SEC's voluntary designation criteria.
The securities scheduled to join NMS on Tuesday, August 14, are:
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ACHV
Archive
Guidance to Members Affected by Hurricane Harvey
SEC Approves New Rules Governing Communications With the Public
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
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We are pleased to share our 2021 Employee Resource Group Year in Review, which, in conjunction with our 2021 Diversity, Equity & Inclusion Report, describes our commitment to fostering a diverse and inclusive culture. The report highlights the activities of our 10 Employee Resource Groups (ERGs), including professional development, educational, networking and recruiting, and
Background
Input from our stakeholders indicated that they would welcome greater transparency regarding FINRA's budget, especially its financial projections and potential use of fines. FINRA for many years has published an Annual Financial Report that is prepared and audited in accordance with GAAP6 that describes the prior year's finances and operations. In the interest of promoting
(a) For purposes of the Rule 6300B Series, unless the context requires otherwise:
(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.
(2) "Designated securities" means all NMS stocks as defined in Rule 600(b)(47) of SEC Regulation NMS.
(3) "Member" means a broker or dealer admitted
(a) For purposes of the Rule 6300A Series, unless the context requires otherwise:
(1) "Exchange Act" or "SEA" means the Securities Exchange Act of 1934.
(2) "Designated securities" means all NMS stocks as defined in Rule 600(b)(47) of SEC Regulation NMS.
(3) "Member" means a broker or dealer admitted