FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: December 12, 2008
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
The NASD has recently received information about the increasing use of so-called "negative response" letters. These letters are used to facilitate members' recommendations that customers switch from one mutual fund to
To whom it may concern, I feel that things could go better if rules which are passed are enforced. Shorts and naked shorts should be closed and not covered because they(hedge funds with short positions) just use illegal ways for covering. Using the rules to over manipulate a stock (AMC, GME) isn't fair market and harsher punishment should be the consequences. Jail time, fines which start in
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
TO: All NASD Members and Other Interested Persons
BACKGROUND
The securities industry, in late 1983, asked the North American Securities Administrators Association (NASAA) to review the registration delays resulting from agent transfers between broker-dealers. After extensive deliberations by the NASAA/CRD Committee and its NASD advisors, a Temporary Agent Transfer program was developed by the
The Private Placements topic of the 2024 FINRA Annual Regulatory Oversight Report (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.
The Neutral Corner—Volume 2, 2021
Mission Statement
Zoom Zooming into Mediations In COVID-Times (by James Yellen, FINRA Arbitrator and Mediator)
FINRA Virtual Mediations (by Narielle Robinson, FINRA Mediation Case Administrator)
Bits, Bytes and E-Discovery Fights: Part II (by Lisa Miller, FINRA Arbitrator)
Is That Your Final Decision? (by Shannon Bond, FINRA Associate Regional
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1990-91 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this notice to assist members in reviewing, reconciling, and
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and responding to the
