INFORMATIONAL
Decimalization Testing
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Decimalization
Executive Summary
In this NASD Notice to Members you will find information on Nasdaq® adding an additional pilot phase to its decimal conversion schedule. A
Older Americans are frequently targeted by financial exploitation efforts, making investor protection and education of particular importance to this population. FINRA offers several services, including a dedicated helpline, that can help senior investors with their concerns.
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).
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
The Trusted Contact Persons 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.
As prepared for deliveryToday’s conversation on disrupting the cycle of financial fraud is important and timely—and we are grateful to have been able to convene such a distinguished group of regulators, policymakers, academics, law enforcement agencies, advocacy groups and financial firms here today. You all play a vital role in protecting investors, advocating for victims and working to stop
The Liquidity Risk Management topic of the 2025 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, (2) findings and effective practices, and (3) additional resources.
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
Important notes to consider when searching the FINRA Disciplinary Actions Online Database
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Executive Summary
Through this Notice, NASD Regulation, Inc., is announcing that the electronic version of the NASD Manual is now accessible on the NASD RegulationSM Web Site (www.nasdr.com). With the advent of Internet availability, the
