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FINRA, you have big name institutions that have in the past been found violating regulations on how to properly mark a short as short instead of long, how to properly report information, and how to properly manage it. In a free and transparent marketplace, every institution should have their cards on the table. If they want to invest, they should report it. If they want to short, they should
1. My firm filed with the Advertising Regulation Department a retail communication that promotes or recommends a private placement subject to the filing requirements of FINRA Rules 5122 or 5123. Do we now need to file the same communication with the Corporate Financing Department?
A. No. A firm that has filed a retail communication with the Advertising Regulation Department will be deemed to
Below are the zipped daily files of the Structured Product Activity Report and the Structured Product Pricing Tables. The zipped files will be available on the 1st business day of the month for the preceding months reports.
For additional information regarding the available reports, please contact TRACE Data Services at (888) 507-3665.
TO: All NASD Members
ATTENTION: Trading DepartmentsBranch Office Trading Locations
On April 1, 1982, the NASD announced the commencement of real-time transaction reporting under Schedule D of the Association's By-Laws for certain NASDAQ securities that have been designated National Market System (NMS) securities. Since inception, the Association has been monitoring transaction reporting in
Restricting retail investors' access to complex financial products reproduces an elite class of investors who can play by different rules than the average Joe. The proposed regulations seek to means-test and require convoluted checks which inherently restrict access to and mitigate the accessibility of smaller investors like myself to financial products that are an integral part of my
New Committee Highlights FINRA’s Commitment to Improving DEI in the Securities Industry
WASHINGTON—FINRA announced today that it has established an Industry Diversity Advisory Committee, advancing its commitment to diversity, equity and inclusion (DEI) in the securities industry.
The FINRA Board of Governors appointed members to the new committee at its September meeting, implementing a
Comment Period Expires January 17, 1995
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInternal AuditLegal & Compliance
Executive Summary
The Department of the Treasury (Treasury) is publishing for comment proposed amendments under the Government Securities Act of 1986 (GSA). The amendments would establish risk assessment rules for government securities broker/dealers
The SEC’s Office of Investor Education and Advocacy (OIEA), the Financial Industry Regulatory Authority (FINRA), the Commodity Futures Trading Commission (CFTC), the National Futures Association (NFA), the Securities Investor Protection Corporation (SIPC) and the North American Securities Administrators Association (NASAA) are issuing this Investor Bulletin to provide investors with information about the three themes of World Investor Week 2023, a global campaign promoted by the International Organization of Securities Commissions (IOSCO): investor resilience, crypto assets and sustainable finance.
The Fixed Income Mark-up Disclosure section of the 2019 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.
Board Approves Rule Proposals, Reaffirms Financial Guiding Principles and Appoints NAC, SFAC and Regional Committee Members
WASHINGTON – FINRA’s Board of Governors met on Dec. 2-3. During the meeting it approved three rule proposals, reaffirmed FINRA’s Financial Guiding Principles, appointed members to the National Adjudicatory Council (NAC) and the Small Firm Advisory Committee (SFAC), received