In June 2009, FINRA issued Regulatory Notice 09-31 to remind firms of their sales practice obligations relating to leveraged and inverse exchange-traded funds (ETFs). At the same time, the Investment Industry Regulatory Organization of Canada (IIROC) issued guidance to the Canadian industry that is substantially similar to our Notice. In July we released a compliance podcast concerning the Notice
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
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Executive Summary
The NASD® has created a Member Buying Services department and consolidated responsibility for the operation of its existing sponsored programs under the
Summary
Due to the recent outbreak of coronavirus disease (COVID-19), FINRA reminds member firms to consider pandemic-related business continuity planning, including whether their business continuity plans (BCPs) are sufficiently flexible to address a wide range of possible effects in the event of a pandemic in the United States. Each member firm is also encouraged to review its BCP to consider
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
SEC Approves New Supervision Rules
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
FINRA New Issue Form Changes – Live Today
This is a reminder that beginning today, Monday, September 28, 2020, the updated FINRA New Issue Form is live. Users can access the new platform by going to https://newissue.finra.org or via the FINRA New Issue quick link in the FINRA Gateway and logging in with the same log in credentials used to access the retired FINRA New Issue Form.
To
