(a) Any person who proposes to form a member organization and any member organization which proposes to admit therein any approved person shall notify the Exchange in writing before any such formation or admission and shall submit such information as may be required by the Rules of the Exchange. No such member organization shall become or remain a member organization unless all persons required
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendments would revise, simplify, and add a recordkeeping requirement
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Healthcare of Ontario Pension Plan Trust Fund.
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
The Liquidity Risk Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
The Cybersecurity 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.
SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
SummaryFINRA has adopted amendments to disseminate individual transactions in active U.S. Treasury securities at the end of the day and historically, and to set related fees for members and other professionals who choose to subscribe to the new data set. This new transaction-level data will be publicly available and free of charge on FINRA’s website for non-professionals’ personal, non-commercial
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Registered Representatives
Senior Management
Systems
Trading
Foreign Securities
American Depositary Receipts (ADRs)
Trade Reporting
Trade Reporting of Foreign Securities
Executive Summary
NASD is publishing this Notice to provide members with guidance on trade reporting issues involving transactions in
