Displaying 1761 - 1770 of 9026 Results
Proposed Rule Change to Amend Sections 4 and 6 of Schedule A to the FINRA By-Laws Regarding Fees Relating to the Central Registration Depository
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Biremis, Corp., formerly known as Swift Trade Securities USA, Inc., and barred its President and Chief Executive Officer, Peter Beck, for supervisory violations
Summary
FINRA is issuing this Notice to remind members of their obligation to have systems or processes in place to determine whether a transaction in a TRACE-Eligible Security has occurred and is, therefore, reportable, even if it was not included on the TRACE security master list at the time of the transaction. In those circumstances, members should contact Market Operations to add the TRACE-
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9100. APPLICATION AND PURPOSE
9110. Application
9120. Definitions
9130. Service; Filing of Papers
9131. Service of Complaint
9132. Service of Orders, Notices, and Decisions by Adjudicator
9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions
9134. Methods of, Procedures for Service
9135. Filing of Papers with Adjudicator: Procedure
9136. Filing of
SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts; Compliance Date: No Later Than August 2, 2005
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Penson Financial Services, a Dallas-based securities clearing firm, $450,000 for failing to establish and implement an adequate anti-money laundering (AML) program to detect and trigger reporting of suspicious transactions, as required by the Bank Secrecy Act and FINRA rules and other violations.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of November 26, 1993, the following 105 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,412:
Symbol
Company
Entry Date
SOES Execution Level
DUCR
Duracraft Corp.
10/26/93
1000
ISCO
Illinois Superconductor Corporation
10/26/93
1000
KAMNZ
Kaman Corporation (Dep. Shrs)
10/
INFORMATIONAL
Web-Based Regulatory Applications
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
Forms/Electronic Filing
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
A hindrance to increasing the diversity in the securities industry may be the cumbersome processes regarding testing accommodations which disparately impact neurodiverse and disabled persons. Documentation requirements exceeding beyond what the ADA establishes as sufficient has a disparate impact on neurodiverse and disabled persons. Requiring unnecessary documentation is often costly, untimely