Financial Industry Regulatory Authority, Inc. ("FINRA") is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt FINRA Rule 6191 and amend Rule 7440 to implement the Regulation NMS Plan to Implement a Tick Size Pilot Program (Plan).
Proposed Rule Change to Adopt FINRA Rule 6191(a) to Implement the Quoting and Trading Requirements of the Regulation NMS Plan to Implement a Tick Size Pilot Program
James Gonedes served two combat tours in Iraq as a Marine. While there, he formed many enduring bonds and friendships, including with fellow Marine Clayton Cohn. So when Clayton started working as an investment adviser in Chicago after their discharge, James gladly invested in his hedge fund business. He eventually gave Cohn almost $400,000—money James had inherited from his late father.
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA today issued a new Investor Alert—Tools of the Fraud Trade: Phones and Emotions—to warn investors not to send money or provide personal information associated with a widespread Internal Revenue Service impersonation scam that is timed to coincide with the recent deadline for anyone who filed a federal tax extension this past April.
Remarks From Baruch College’s Financial Markets Conference
FINRA Files Rule with SEC for Authority to Designate Firms for Mandatory Participation in FINRA’s Business Continuity/Disaster Recovery Testing, As Required by Regulation SCI
CE Online and S101 Personalization
FINRA to Require Electronic Submission of Subordination Approval Requests
