NEW FOR 2023
Cybersecurity and Technology Governance
Anti-Money Laundering, Fraud and Sanctions
Manipulative Trading NEW FOR 2023
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Regulatory Obligations and Related Considerations
Regulatory Obligations
FINRA Rule 4530 (Reporting Requirements) requires member firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, violations of securities laws and FINRA rules, certain written customer complaints, certain disciplinary actions the firm takes and
Consolidated Audit Trail (CAT)
Best Execution
Disclosure of Routing Information
Fixed Income – Fair Pricing NEW FOR 2023
Fractional Shares: Reporting and Order Handling NEW FOR 2023
Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades NEW FOR 2023
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NEW FOR 2023
Regulatory Obligations and Related Considerations
Regulatory Obligations
Rules 203(b) (Short sales) and 204 (Close-out requirement) of Regulation SHO provide exceptions for bona fide market making activity. The SEC has provided guidance on what constitutes “bona fide market making activities” as well as examples of what does not; member firms must also confirm and be able to
Regulatory Obligations and Related Considerations
Regulatory Obligations
Exchange Act Rule 15c3-3 (Customer Protection Rule) imposes requirements on member firms that are designed to protect customer funds and securities. Member firms are obligated to maintain custody of customers’ fully paid and excess margin securities, safeguard customer cash by segregating these assets from the firm’s
INFORMATIONAL
Prohibition Against Guarantees and Sharing in Customer Accounts
Effective Date: May 12, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Registered Representatives
Principals
I am losing faith in the Regulations governing the Securities Market! As a retail investor I believe that the provably widespread practice of naked shorting dilutes the share pool of companies that I believe in which artificially lowers stock prices. It is a method that predatory short hedge funds use to drive stock prices down, rather than allowing the market to engage in true price discovery.
FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
NASD Rule 2510 - Discretionary Accounts - Use of a negative response process under NASD Rule 2510(d)(2)(D) to designate an alternative money market sweep fund when existing sweep fund closes with inadequate notice.