Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adjust one of the thresholds required to qualify for the Media/Contra fee cap under FINRA Rule 7620A (FINRA/Nasdaq Trade Reporting Facility Reporting Fees).
INFORMATIONAL
Injunctive Relief
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KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Arbitration
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Injunctions
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule 10335 of the NASD Code of Arbitration Procedure
INFORMATIONAL
FIPS Changes
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Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
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FIPS
As of December 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALME.GB
Alaris Medical Systems Inc.
11.625
12/01/06
AWAS.GG
Supervisor Barred from Supervising, Suspended and Fined; Additional Broker Sanctioned
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred broker George Johnson from the securities industry for engaging in a manipulative trading scheme to artificially inflate the market price and trading volume for the common stock of IceWEB, Inc. (OTCBB: IWEB).
<p>The FINRA Board of Governors will consider the following rulemaking items at its February 2016 meeting. After the meeting, FINRA will notify firms via email about the Board’s actions on these items and anticipated next steps, if any.</p>
INFORMATIONAL
Trade Date—Settlement Date
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KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Operations
Trading & Market Making
Holiday Trade Date—Settlement Date Schedule
Good Friday: Trade Date—Settlement Date Schedule
The Nasdaq Stock Market and the securities exchanges will be closed on Good Friday, March 29, 2002. "
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
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Advertising/Investment Companies
Executive Representatives
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Mutual Fund
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Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
Executive Summary
On August 10,
As prepared for delivery.
Essential Elements of Sound Capital Market Structure
Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
Proposed Rule Change to Delay the Implementation Date of FINRA Rule 2242 (Debt Research Analysts and Debt Research Reports)
