SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On August 13, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that allows broker/dealers to treat foreign equity securities listed on the FT-Actuaries World Indexes (Indexes) as having a "ready market" under SEC Rule 15c3-1 (net capital rule
The FINRA Board of Governors will consider the following rulemaking items at its April 2012 meeting.
Finra needs to fine those manipulating the rules to make more profit that the fine costs. Manipulators need to pay greater than the profits of the manipulation. Because where do their profits come from? Stealing from retail and retirement. And finra is complicit. So get ready to lose it all when GameStop leaves and paves the way to get away from the thievery that you are a part of. Wall Street.
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
The Securities and Exchange Commission has recently approved revisions to several NASD qualification examinations. These changes become effective May 1, 1995. The revised examinations include the following.
Investment Company Products/Variable Contracts Representative
Guidance on FAS 167 for FOCUS Reporting
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FINRA observed some instances in which firms have had difficulty meeting various aspects of their obligations under Regulation SHO and relevant FINRA rules:
Supervision of Third-Party Order Management Systems
2014 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
INFORMATIONAL
Registration Rules
Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Principals
Registration
Registered Representatives
Senior Management
Training
Registration Rules
Executive Summary
On February 26, 2003, NASD filed with the Securities and Exchange Commission
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
This is a reminder, that beginning Monday, August 3, 2020, as described in Regulatory Notice 19-30, members are required to begin to report transactions in U.S. Treasury Securities executed to hedge a List or Fixed Offering Price Transaction or a Takedown Transaction (as defined in FINRA Rule 6710) with an appropriate identifier.
Please contact FINRA Product
