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Notice to Members 05-21
REQUEST FOR COMMENT Proposed Rule to Enhance Confirmation Disclosure in Corporate Debt Securities Transactions Comment Period Expires April 19 SUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperationsRegistered Representatives Senior ManagementTechnologyTraining ConfirmationsDebt SecuritiesOperationsTransaction Reporting Executive Summary NASD is requesting
Notice To Members 93-40
SUGGESTED ROUTING Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicate Executive Summary The NASD requests comment on proposed amendments to the Free-Riding and Withholding Interpretation under Article III, Section 1 of the Rules of Fair Practice. These amendments would change a number of the Interpretation's provisions. The complete text of the
Michael Moise Comment On Regulatory Notice 22-17
This proposal will blatantly continue to negatively impact small member firms that do not have neither the current infrastructure, capital or staffing levels to accommodate this significant of a change to their reporting structure. The continued demise in the number of FINRA-registered small firms, which benefits the largest firms with additional greater market share, provides the cover for the
John W. Marcus, PIBC Securities LLC
May 9, 2001 Mr. John W. Marcus Chairman PIBC Securities LLC 640 Fifth Avenue New York, NY 10019 Re: Exemption Request from Fidelity Bonding Requirements Dear Mr. Marcus: I am responding to your letter of November 21, 2000, in which you request that PIBC Securities LLC ("PIBC") be exempt from the requirement to maintain a fidelity bond under NASD Rule 3020. Specifically, your
Election Notice – 10/20/17
Notice of FINRA District Committee Elections and Ballots
Regulatory Notice 12-27
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
Election Notice - 10/17/12
Notice of FINRA District Committee Election and Ballots
Customer Order Handling: Best Execution and Order Routing Disclosures
The Customer Order Handling: Best Execution and Order Routing Disclosures topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
Regulatory Notice 12-55
Guidance on FINRA’s Suitability Rule
Election Notice – 10/14/15
Notice of FINRA District Committee Elections and Ballots