Displaying 731 - 740 of 9025 Results
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Members are reminded of their obligation that all fees and charges for services must be reasonable and that adequate prior notice be given to customers.
DISCUSSION
Article III, Section 3 of the Rules of Fair
(a) Service on Each Party
Except as provided below, a complaint shall be served on each Party by the Department of Enforcement. When counsel for a Party or other person authorized to represent others under Rule 9141 agrees to accept service of the complaint, then the Department of Enforcement may serve the complaint on counsel for a Party or other person authorized to represent others
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6100. QUOTING AND TRADING IN NMS STOCKS6110. Trading Otherwise than on an Exchange6120. Trading Halts6121. Trading Halts Due to Extraordinary Market Volatility6130. Transactions Related to Initial Public Offerings6140. Other Trading Practices6150. Obligation to Provide Information6151. Disclosure of Order Routing Information for NMS Securities6160. Multiple MPIDs for Trade Reporting
Summary
FINRA is alerting firms to a recently identified vulnerability in Apache Log4J software, which is an open-source, Java-based logging utility widely used by enterprise applications and cloud services. The “Log4Shell” vulnerability presents risk for member firms because they may be using this software in internal applications, or the software may be embedded in third-party software
Summary
In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
Participation in NASDAQ's Automated Confirmation Transaction (ACT) Service, which has been approved by the Securities and
As part of its Transparency Services improvement initiative, beginning Monday, September 9, 2024, FINRA will re-platform the TRACE Corporate and Agency product to a new Linux-based operating system. FINRA encourages client testing participation in this effort to validate that all processes work within the TRACE reporting framework.
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
Title III of the Jumpstart Our Business Startups (JOBS) Act, enacted in 2012, contains key provisions relating to securities offered or sold through crowdfunding.
This page provides information and resources for crowdfunding intermediaries that, pursuant to Title III of the JOBS Act, the SEC's Regulation Crowdfunding and FINRA's rules for funding portals, register with the SEC as
FINRA member firms have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities to a FINRA facility. The TRACE, ADF and ORF facilities are accessed by completing a FINRA Participation Agreement (FPA). Firms are also able to establish web users of the TRAQS web application by completing the FINRA Order Form.
The Participant Data