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Rule 401T Business Conduct
/01 Trading Against Firm Recommendations Reserved. /02 Private Sales Reserved. /03 Conversions, Acquisitions and Changes in Business Activities Member organizations are expected to notify the Exchange when planning important organizational or operational changes, such as mergers with or acquisitions of other broker/dealers or the acquisition of a significant electronic data processing system
Rule 401 Business Conduct
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule. /01 Trading Against Firm Recommendations Reserved. /02 Private Sales Reserved. /03 Conversions, Acquisitions and Changes in Business Activities Member organizations are expected to notify the Exchange when planning
Regulatory Notice 13-44
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Key Topics - A to Z
AAccount StatementsActive Duty Military LeaveAdjudication & DecisionsAdvertising RegulationAdvisory CommitteesAlgorithmic TradingAlternative Display Facility (ADF)Annual AuditAnnual Regulatory and Examination Priorities LetterAnnual ReportsAnnuities and InsuranceAnti-Money LaunderingArbitration & MediationAsset-Backed Securities / Securitized ProductsAutomated Data Delivery System
Notice To Members 91-67
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY On October 10, 1991, the Securities and Exchange Commission (SEC) unanimously approved four changes to the Small Order Execution System (SOES) operated by NASD Market Services, Inc. for Nasdaq securities.
Regulatory Notice 18-03
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Notice to Members 96-66
Executive Summary The Government Securities Act Amendments of 1993 (GSAA) eliminated the statutory limitations on NASD® authority to apply sales-practice rules to transactions in exempted securities, including government securities, other than municipals. On August 20, 1996, the Securities and Exchange Commission (SEC) approved amendments implementing the expanded sales-practice authority
Statement Before the Subcommittee on Capital Markets of the U.S. House of Representatives’ Financial Services Committee
Thank you for the opportunity to appear today to discuss the important work that the Financial Industry Regulatory Authority, or FINRA, is doing to fulfill our mission under the federal securities laws to protect investors and safeguard market integrity while facilitating vibrant capital markets.
Notice To Members 85-5
IMPORTANT PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS TO: All NASD Members and Other Interested Persons Since the issuance of Notice to Members 84-48, requests for clarification have been received concerning that portion of the Notice dealing with the treatment to be accorded commissions payable. After further discussion with the staff of the SEC's
The Lowdown on Leveraged and Inverse Exchange-Traded Products
Exchange-traded products (ETPs) are a popular way to invest, with thousands of different products available to target almost every imaginable investment objective, but it’s important to remember that not all ETPs are the same. Leveraged and inverse ETPs are complex investments that come with a unique set of risks.