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WASHINGTON — The Securities and Exchange Commission and the Financial Industry Regulatory Authority (FINRA) today announced the opening of registration for their 2015 National Compliance Outreach Program for Broker-Dealers. The program is intended to provide an open forum for regulators and industry professionals to discuss compliance practices and exchange ideas on effective compliance
REMA brings together the Office of the Chief Economist and the Office of Financial Innovation
WASHINGTON—FINRA announced today that it has promoted Jonathan Sokobin to Executive Vice President and Head of the newly created Office of Regulatory Economics and Market Analysis (REMA).
Sokobin, previously Senior Vice President and Chief Economist, will remain Chief Economist and a member of FINRA’s
TO: All NASD Members and Municipal Securities Bank Dealers
FROM: All Operations Personnel
Transactions made on Monday, October 14, Columbus Day; Tuesday, November 5, Election Day; and Monday, November 11, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and
WASHINGTON —The Financial Industry Regulatory Authority (FINRA) announced the results of voting that took place at its 2016 Annual Meeting today in Washington, D.C. In accordance with FINRA By-Laws, small firms elected one Governor. FINRA also named two new public Governors to its Board of Governors.
Bob Muh, Chief Executive Officer, Sutter Securities, Inc. was elected as a Small Firm Governor
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Tuesday, February 12 and Washington's Birthday, Monday, February 18. On Tuesday, February 12, the NASDAQ System and the exchange markets will be open for trading. However,
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Transactions made on Monday, October 8, Columbus Day; Tuesday, November 6, Election Day; and Monday, November 12, Veterans Day, and the days immediately preceding these days, will be subject to the schedule below. The purpose of this schedule is to provide uniformity since, while the NASDAQ System and other
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 3, of the NASD By-Laws and
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Monday, February 13, and Washington's Birthday, Monday, February 20. On Monday, February 13, the NASDAQ System and the exchange markets will be open for trading. However, it
<p>A broker/dealer is not required to register as branch offices under Rule 3010(g) non-public office locations where existing customers can use computer terminals to access their accounts and enter orders.<br /></p>
FINRA ("FINRA") respects the intellectual property rights of others and expects its users to do the same. In accordance with the Digital Millennium Copyright Act of 1998, the text of which may be found on the U.S. Copyright Office website at http://www.copyright.gov/legislation/dmca.pdf, FINRA will respond expeditiously to claims of copyright infringement committed using the FINRA