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SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 3, of the NASD By-Laws and
FINRA Requests Comment on Proposed FINRA Rule Addressing the Circulation of Rumors
The new coronavirus that causes COVID-19 has rapidly changed the way U.S. broker-dealers must conduct business as states implement various shelter-in-place and stay-at-home orders, forcing workers remote. On this episode, we talk to FINRA’s Chief Legal Officer and Head of Member Supervision to learn how FINRA is adapting its operations and providing important regulatory relief.
In observance of Labor Day, FINRA’s Market Transparency Reporting Systems will be closed on Monday, September 6, 2021. Affected applications include:
Alternative Display Facility (ADF)
OTC Bulletin Board (OTCBB)
Over-the-Counter Reporting Facility (ORF)
Trade Reporting and Compliance Engine (TRACE)
FINRA/Exchange Trade Reporting Facilities (TRFs)
As stated in the data feed interface
Comment Period Expires October 1, 1994
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The North American Securities Administrators Association (NASAA) has published form revisions in draft format for public comment in the September 1994 edition of the Commerce Clearing House (CCH) NASAA Reports. The comment period expires October 1, 1994, and
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Operations
Syndicate
Systems
Trading
Training
Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite the delivery of
Washington, D.C. — The American Federation of State, County and Municipal Employees' (AFSCME) Training and Education Institute today announced the creation of Investor Education for Working Families, a ground-breaking program funded with a $692,180 grant from the Financial Industry Regulatory Authority Investor Education Foundation.The new program is designed to teach AFSCME members, who
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
As you may know, the consolidation of NASD and NYSE Member Regulation into a single self-regulatory organization, the Financial Industry Regulatory Authority (FINRA), became effective July 30, 2007. Below is an overview of how this consolidation will impact the reporting process for OATS users:
Email users – must obtain new email encryption certificate and send to a new email address
(a) Supervisory System
(1) Each funding portal member shall establish and maintain a system to supervise the activities of each associated person of the funding portal member that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with the Funding Portal Rules. A funding portal member's supervisory system shall provide, at a minimum, for