GUIDANCE
Gifts and Gratuities
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Gifts
Gratuities
Rule 3060
Executive Summary
As a result of a recent review of gift and gratuity practices at member firms, NASD has
SR-FINRA-2008-049 - Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a Uniform Practice Code (UPC) Advisory that will provide notice that FINRA will halt trading in OTC Equity Securities under FINRA Rule 6460(a)(3) (formerly NASD Rule 6660(a)(3)) if there is a marketwide halt in trading in NMS stocks.
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
The FINRA Board of Governors will consider the following rulemaking items at its July 2011 meeting. After the July 14 meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On November 26, 1997, the Securities and Exchange Commission (SEC or Commission) approved changes to National Association of Securities Dealers, Inc. (NASD®) rules governing trading in exchange-listed securities in the over-the-counter market (the Third Market). The amendments: (1)
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
FINRA Reminds Firms of Their Obligations When Effecting OTC Trades in Equity Securities on a Net Basis
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
FINRA-2008-013 - Proposed Rule Change to Amend Rule 2220 to Update the Standards for Options Communications
INFORMATIONAL
Trading Halts
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Quotations
Trading Halts
Executive Summary
This NASD Notice to Members addresses frequently asked questions arising under NASD Rule 3340 (Rule 3340 or the Rule) regarding trading halts. Rule 3340 prohibits members or
