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FINRA Requests Comment on the Effectiveness and Efficiency of Its Rules on Outside Business Activities and Private Securities Transactions
If a Participant is reported by the System as a party to a trade that has been treated as locked-in and sent to DTCC, notwithstanding any other agreement to the contrary, that party shall be obligated to act as a principal to the trade and shall honor such trade on the scheduled settlement date.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-
Failure of a Participant or person associated with a Participant to comply with any of the rules or requirements of the System may be considered conduct inconsistent with high standards of commercial honor and just and equitable principles of trade, in violation of Rule 2010.
Amended by SR-FINRA-2008-057 eff. date Dec. 15, 2008.
Adopted by SR-FINRA-2008-021 eff.
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceRegistrationTraining
Executive Summary
The Board of Governors, acting on the recommendation of a special Ad Hoc Committee, is clarifying the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to the investment advisory activities of registered representatives. This Notice describes those
WASHINGTON – Many U.S. investors with “alarmingly low” levels of financial knowledge lack confidence in their ability to meet their financial goals, according to new research conducted by the FINRA Investor Education Foundation (FINRA Foundation) and the Global Financial Literacy Excellence Center (GFLEC) at the George Washington University School of Business.
“Investors are seeing a rapid
On December 1, 2009, the SEC approved FINRA's proposed rule change to adopt a new set of rules governing clearly erroneous transactions in the consolidated rulebook.
WASHINGTON – Instinet, LLC has been censured and fined a total of $1.575 million for violations of various provisions of Rule 15c3-5 of the Securities Exchange Act of 1934 (known as the Market Access Rule) and related exchange supervisory rules. The action was taken by the Financial Industry Regulatory Authority (FINRA), along with BOX Options Exchange LLC (BOX); the Cboe BZX Exchange, Inc.;
INFORMATIONAL
Decimalization
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KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and Exchange Commission
Those opening donor-advised funds should be aware of the benefits and drawbacks of donor-advised funds. Here's what you need to know.
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging