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When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "bank" means (1) a banking institution organized under the laws of the United States, (2) a member bank of the Federal Reserve System, (3) any other banking institution, whether incorporated or
The Special Investigations Unit (SIU) within FINRA’s National Cause and Financial Crimes Detection (NCFC) program is bringing to your attention some additional Russia-related sanctions developments. Please note that these are in addition to those detailed in FINRA Regulatory Notice 22-06.
On February 26, 2022 the White House released a Joint Statement on Further Restrictive Economic Measures
Summary
FINRA is soliciting comment on a proposal to establish a new trade reporting requirement for transactions in over-the-counter options on securities with terms that are identical or substantially similar to listed options. FINRA is proposing to require firms to report this information to FINRA on a daily basis (end-of-day) for regulatory purposes only.
Questions regarding this Notice
SummaryThrough its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect
F/M DISTRIBUTORS, LLC111 HUNTINGTON AVENUE, BOSTON, MA 02199FAIRMOUNT PARTNERS LP555 EAST LANCASTER AVENUE, SUITE 640, RADNOR, PA 19087FAIRPORT CAPITAL, INC.9141 E. HIDDEN SPUR TRAIL, SCOTTSDALE, AZ 85255FAIRVIEW SECURITIES, INC.154 LONG LOTS ROAD, WESTPORT, CT 06880FALCON SQUARE CAPITAL, LLC3701 LAKE BOONE TRAIL, SUITE 100, RALEIGH, NC 27607FALLBROOK CAPITAL SECURITIES CORP.26610 AGOURA ROAD,
FINRA Announces Results of SFAB, NAC and District Committee Elections
University of Georgia Professor Recognized for Pioneering Research and Advocacy to Advance Financial Inclusion and Alleviate Racial and Gender Bias in Agricultural Lending
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) today awarded Cesar Escalante the 2022 Ketchum Prize—its highest honor—in recognition of his outstanding service and research to advance financial
Bitcoin is a peer-to-peer payment system that uses its own currency, called bitcoin, to transact business around the world. Bitcoins are not issued by banks or governments—indeed, the bitcoin platform was designed to offer an alternative to national currencies, like the dollar, and commodity-based currencies such as gold or silver coins.
(a) Quid Pro Quo Allocations
No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.
(b) Spinning
(1) No member or person associated with a member may