Displaying 251 - 260 of 1654 Results
(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may
(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may allocate shares of a new issue to any account in which
Proposed Rule Change to Adopt FINRA Rule 3280 (Private Securities Transactions of an Associated Person) in the Consolidated FINRA Rulebook
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure), which governs the information FINRA releases to the public via FINRA’s BrokerCheck® tool, to exclude from release through BrokerCheck the street address of a registered location that is reported and identified to FINRA as a private residence. The proposed rule change would help address privacy and safety concerns raised by broker-dealer firms and their associated persons about the release through BrokerCheck of the full address of an associated person’s private residential registered location.
Continuing Education
Planning
The Communications with the Public section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
WASHINGTON—FINRA announced today that Bari Havlik, EVP and Head of the Department of Member Supervision, plans to retire from FINRA later this year. Havlik will be succeeded by Greg Ruppert, who currently reports to Havlik and serves as EVP and leader of FINRA's National Cause and Financial Crimes Detection Program (NCFC), on November 1st. She will remain an adviser to Ruppert to assist with
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance