TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Friday, December 25, 1987, Christmas Day, and Friday, January 1, 1988, New Year's Day. "Regular way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-Settlement
Matters Reflect FINRA’s Focus on Cybersecurity
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 12 firms a total of $14.4 million for significant deficiencies relating to the preservation of broker-dealer and customer records in a format that prevents alteration. FINRA found that at various times, and in most cases for prolonged periods, the
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has recently approved amendments to Section 4 of Appendix A, Article III, Section 30 of the Association's Rules of Fair Practice that relates to minimum margin requirements for option contracts on a market or industry index. These amendments which became effective on April 13, 1984 establish minimum
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the District 2 seats on the West Region Committee are the only contested seats. Therefore, only firms that are members of FINRA in District 2 as of the close of business on Monday,
November 2, 1999The data in all ROEs in a single FORE must belong to the firm identified by the Order Receiving Firm MP ID in the FORE header. In the majority of cases, the Order Receiving Firm MP ID in the FORE header and in each ROE will be identical. However, when an Order Receiving Firm has multiple MP IDs or has changed its MP ID recently, it is acceptable for the MP ID in the FORE header to
Succession planning is important not just for customers and representatives but can even be a matter of life or death when it comes to the continued existence of a firm. On this episode, we hear how and why firms should plan for the expected and unexpected in life.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Thursday, November 24, Thanksgiving Day; Monday, December 26, Christmas Day Observance; and Monday, January 2, 1984, New Year's Day Observance. "Regular Way" transactions made on the preceding business days will be subject to the
The use of negative response letters to change the broker-dealer of record on a mutual fund or variable insurance product account held directly at the issuer.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has permanently barred Jeffrey C. McClure from the securities industry for converting nearly $89,000 from an elderly customer's bank account while working for Wells Fargo Advisors, LLC and an affiliated bank in Chico, California. The affiliated bank has made the customer whole for her losses.
FINRA
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
