(a)(1) Unless otherwise permitted by FINRA, a capital acquisition broker must suspend all business operations during any period in which it is not in compliance with applicable net capital requirements set forth in SEA Rule 15c3-1.
(2) FINRA may issue a notice pursuant to FINRA Rule 9557 directing a capital acquisition broker that is not in compliance with applicable net capital
Effective July 1, 2025, and through at least December 31, 2025, Advertising Regulation will operate a voluntary Revised Communication Pilot Program.
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
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Executive Summary
This Notice advises broker-dealers engaged in the business of agency securities lending that the Agency Lending Disclosure Taskforce (Industry Taskforce), composed of, among others, representatives of the securities industry, regulators, and the Depository Trust & Clearing Corporation (DTCC), has recommended, through its Agency Lending Disclosure Initiative, certain
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (
You guys should not classify Retail Investors as a naïve person. Nowadays, Retail Investors have access to information to self-educate themselves on risks of trading leverage products (eg: Google Search, Reddit, Boggle heads and list goes on). I personally hold TQQQ for more than 2 years and will continue to do so as it continues to provide outsized return relative to underlying index. The
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Chairwoman Waters, Ranking Member McHenry and Members of the Committee:
Introduction
On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of August 29, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,707:
Symbol
Company
Entry Date
SOES Execution Level
DSYT
Dorsey Trailers, Inc.
7/28/94
500
RFMI
R F Monolithics, Inc.
7/28/94
200
CIMA
OMA LABS INC.
7/29/94
1000
CSCC
Cascade
