SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
<p>Application of NASD Rules 3370(b)(1) and 3370(b)(2)(A) to orders received by a Nasdaq market maker from other registered broker/dealers.</p>
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
The Net Capital and Credit Risk Assessments section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
In December of 2002, the Securities and Exchange Commission (SEC), New York Attorney General, the North American Securities Administrators Association (NASAA), the New York Stock Exchange (NYSE), and NASD reached an agreement in principle with ten of the nation's largest investment banks to resolve issues of conflicts of interest involving research analysis and initial public offerings (IPOs).
Chairman Sarbanes, Ranking Member Gramm, members of the Senate Banking Committee, thank you for this opportunity to testify today on the vital, troubling and timely issues of investor protection and accounting highlighted by the collapse of Enron. It would be hard to overstate the human tragedy for Enron’s employees, pension-holders and investors caused by the failure of America’s seventh largest company.
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Executive Summary
On September 9, 1998,
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding self-regulation in the securities industry.
Amendments to FINRA Trade Reporting and OATS Rules to Reinstitute Short Sale Exempt Marking and to Require Price and Short Exempt Identifier on Route Reports
