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Regulatory Notice 19-29
The effective date has been delayed to December 2, 2019 Important Note: Weekly aggregate non-ATS volume data is published on a two-week delayed basis for Tier 1 NMS stocks and a four-week delayed basis for Tier 2 NMS stocks and OTC equity securities. To align the implementation of the rule amendments for these data sets, FINRA has modified the initial publication timeframes described in footnote
Notice To Members 93-29
SUGGESTED ROUTING Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining Executive Summary The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
Federal Reserve Depository Institution Reporting to TRACE
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
Regulatory Notice 08-14
Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended.
Notice to Members 05-48
GUIDANCE Outsourcing SUGGESTED ROUTING KEY TOPICS Legal and Compliance Operations Senior Management Due Diligence Outsourcing Supervisory Responsibilities Third-Party Service Providers Executive Summary NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to
5121. Public Offerings of Securities With Conflicts of Interest
(a) Requirements for Participation in Certain Public Offerings No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2). (1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
5121. Public Offerings of Securities With Conflicts of Interest
(a) Requirements for Participation in Certain Public Offerings No member that has a conflict of interest may participate in a public offering unless the offering complies with subparagraph (1) or (2). (1) There must be prominent disclosure of the nature of the conflict of interest in the prospectus, offering circular or similar document for the public offering, and one of the following
Notice to Members 04-73
GUIDANCE Examination Fees Implemention Date: January 1, 2005 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Examination Fees Qualification Examinations Registration Schedule A to the NASD By-Laws Executive Summary NASD has filed for immediate effectiveness
Information Notice – 10/2/19
Summary Several member firms recently notified FINRA that they have experienced email account takeovers (ATOs) while using cloud-based email platforms, including Microsoft Office 365 (O365). Attackers used compromised email accounts to defraud member firms by requesting fraudulent wire requests or stealing confidential firm information or non-public personally identifiable information (PII).