SEC Approves Rule Amendment to Create a New TRACE Security Activity Report and End-of-Day TRACE Transaction File
If your company has granted you an employee stock award or you're considering a job that includes equity compensation, here are a few questions to consider.
SUGGESTED ROUTING*
Senior ManagementInstitutionalLegal & Compliance OperationsSystemsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 18, 1990, the Securities and Exchange Commission (SEC) approved an NASD proposal to require market makers in NASDAQ to display quotation size greater than or equal to the
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced the members of its 23-member Interim Board of Governors, who will serve until FINRA's three-year Transition Board of Governors is elected at an Annual Meeting on October 26.At that Annual Meeting, Small Firms (those with 150 or fewer registered representatives) will elect three Board representatives. Mid-
How much money is the average American losing each year on "sports betting?" How many jobs does that money flow produce each year? Wouldn't that money be better utilized as an investment in the stock market? Doesn't retail investing produce more jobs? If you agree with the simple premise that a $1 invested in the market is better for America than $1 gambled on sports betting
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
The restriction of investment in non-traditional stocks and bonds is a driving force in making the investment playing field unlevel between the regular Americans and HNW individuals/institutions. There is no benefit by limiting the playing field to the average American, and reduces the ability of wealth creation along with hedging abilities that HNW individuals have.
Inverse and leveraged ETFs
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to Article III, Section 19(f) of the NASD Rules of Fair Practice governing sharing in customer accounts by members and by persons associated with members
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has reached agreements in principle with, SunTrust Investment Services, Inc. and SunTrust Robinson Humphrey, Inc., both of Atlanta, GA, Comerica Securities, Inc. of Detroit, MI, First Southwest Company of Dallas, TX, and WaMu Investments, Inc., of Irvine, CA, to settle charges relating to the sale of Auction Rate Securities (ARS).
Chairman Kanjorski, Ranking Member Garrett and Members of the Subcommittee: I am Steve Luparello and I currently serve as Interim CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.