Displaying 2191 - 2200 of 34936 Results
Notice to Members 01-37
INFORMATIONAL Margin Disclosure Statement SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Customer Disclosures Margin     As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange Commission (SEC) approved National Association
FINRA Issues First Cross-Market Report Cards Covering Spoofing and Layering
New Equities Supervision Reports Are Designed to Help Firms Spot and Halt Potential Manipulation WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today made available to member firms its first monthly cross-market equities supervision report cards, aimed at helping firms identify and halt spoofing and layering activity. "FINRA is marshaling its ability to look across
Notice to Members 01-38
ACTION REQUESTED Taping Rule Comment Period Expires: July 25, 2001 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management IM-8310-2 Public Disclosure ProgramRule 3010 Supervision Taping Rule Executive Summary NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to Rule 3010(b)(2), commonly referred to as the Taping Rule. In 1998, NASD
FINRA Investor Education Foundation and Filene Research Institute Announce Employer Sponsored Small Dollar Loan Research Collaboration
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Investor Education Foundation, the Filene Research Institute, and six local credit unions have launched a two-year research project to assess the long-term impact of an Employer Sponsored Small Dollar Loan designed to help employees avoid the high cost of payday lenders, establish or repair credit, and begin to save. Designed by
FINRA Decision Bars James Van Doren for Unethical Conduct; Registered Representative Engaged in Money Laundering and Assisted Friend in Deceiving Creditors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today a decision barring James Van Doren from the securities industry for unethical conduct involving money laundering and a scheme to deceive a friend's creditors and facilitate violations of law, including conspiracy to commit bankruptcy fraud. The ruling resolves charges brought by FINRA's Department of
Regulatory Notice 16-14
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
Notice to Members 01-39
INFORMATIONAL New Registration Category-Rules And Examination SUGGESTED ROUTING KEY TOPICS Continuing Education/Testing/Qualification Legal & Compliance Operations Registration Senior Management Training Limited Representative-Private Securities Offerings (Series 82) NASD Rule 1032 Qualification Examinations     Executive
New Data on OTC Equity Trading Now Available, FINRA Announces
Additional Transparency Covers About 20% of All Trading in National Market System Equities WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that expanded data on over-the-counter (OTC) trading in equity securities is now live, extending FINRA's trading-volume transparency to all of the OTC market. With this enhancement, FINRA is supplementing the data that
Notice to Members 01-40
FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of April 23, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM). Symbol Name Coupon Maturity AG.GB AGCO Corp 9.500 05/01/08 BEPA.GD BE Aerospace Inc 8.875 05/01/11 BFPC.
Regulatory Notice 16-13
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities