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Notice to Members 98-90
SUGGESTED ROUTING Senior Management Legal & Compliance Executive Summary On October 14, 1998, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) relating to the selection of arbitrators.1 The arbitrator list selection rules and related amendments to the Code of Arbitration Procedure will be
2013 Regulatory and Examination Priorities Letter
Cover Letter from FINRA Chairman and CEO, Rick Ketchum January 11, 2013 Today, FINRA published its eighth annual 2013 Regulatory and Examination Priorities Letter to highlight the key issues that are significant to our regulatory programs. This letter is an important part of our work to support your efforts to regularly update your compliance capability. It is my
Monthly Disciplinary Actions July 2011
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
General Principles Applicable to All Sanction Determinations [Version up to May. 1, 2018]
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct. The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
XI. Supervision [Version up to February 28, 2019]
•  Disqualified Persons—Failure to Discharge Supervisory Obligations •  Supervision—Failure to Comply With Taping Rule Requirements •  Supervision—Failure to Supervise •  Supervision—Systemic Supervisory Failures •  Supervisory Procedures—Deficient Written Supervisory Procedures Disqualified Persons—Failure to Discharge Supervisory Obligations FINRA Rules 2010 and 3110
SEA Rule 15c3-3a Exhibit A and Related Interpretations
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Regulatory Notice 08-74
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
Regulatory Notice 20-05
Summary FINRA seeks comment on a proposal to implement the recommendations of the Securities Industry/Regulatory Council on Continuing Education (CE Council) enhancing the continuing education requirements for securities industry professionals.1 The proposal would change the: (1) Regulatory Element to provide annual training, make the content more relevant, incorporate diverse instructional
VIII. Quality of Markets [Version up to February 28, 2019]
•   Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements •   Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements •   Backing Away •   Best Execution—Failure to Comply With Requirements for Best Execution •   ECN Display Rule—Failure to Comply With Rule Requirements •   Failure to Display Minimum Size in NASDAQ Securities, CQS
Regulatory Notice 24-08
SummaryFINRA has amended FINRA Rule 4210 (Margin Requirements) to establish a specified exception under the margin rules with respect to certain short option or warrant positions on indexes that are written against products that track the same underlying index. Referred to as “protected” option or warrant positions, the new exception conforms with similar provisions Cboe recently adopted. The