(a) Application of FINRA Rule 9000 Series (Code of Procedure) to Funding PortalsExcept for the FINRA Rule 9520 Series, FINRA Rule 9557, FINRA Rule 9561, and the FINRA Rule 9700 Series, all funding portal members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:(1) the term "member" as used in the FINRA Rule 9000 Series shall
GUIDANCEAffirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeLegal & ComplianceOperationsNASD Rule 3370Short Sale RuleAffirmative DeterminationExecutive SummaryOn November 14, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "affirmative determination requirements
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today brought transparency to the asset-backed securities market, providing investors with post-trade price information for asset-backed securities, including those backed by auto loans, credit card receivables and student loans. Transactions in this market represent approximately 400 trades, totaling $3.5 billion in original
SUGGESTED ROUTING:*
Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
After several years of discussion, the Securities and Exchange Commission (SEC), NASD, and North American Securities Administrators Association (NASAA) have resolved their differing views regarding disclosure requirements
Rule 2260
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Senior Management
Designated Investment Adviser Definition Rule ModernizationRule 2260
Executive Summary
Rule 2260 requires member firms to forward proxy material, annual reports, information statements, and other material sent to security holders, the beneficial owner, or the beneficial owner's designated
Monday, May 135:00 p.m. – 7:00 p.m.Registration & Information5:00 p.m. – 7:00 p.m.New Attendee Reception Tuesday, May 147:30 a.m. – 6:00 p.m.Registration & Information8:30 a.m. – 10:00 a.m.Continental Breakfast & Seating10:00 a.m. – 10:45 a.m.Plenary Session – Welcome Remarks and Fireside ChatSession Description: Join this session to hear perspectives from FINRA leadership
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) General
(1) In furtherance of FINRA's obligations to foster cooperation and coordination of the clearing, settling and
Firm Fined $2.5 Million and Ordered to Pay Restitution of $1.25 Million for Failing to Supervise Former Oppenheimer Broker Mark Hotton
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Oppenheimer & Co. Inc. $2.5 million and ordered the firm to pay restitution of $1.25 million for failing to supervise Mark Hotton, a former Oppenheimer
If you own crypto assets, or are considering doing so, it’s valuable to have at least a basic understanding of blockchain, the technology protocol that powers most cryptocurrencies, including bitcoin and ethereum. Blockchain uses computer code to create, maintain and update information shared by blockchain participants.
SEC Approves a Limited Exception From FINRA Rule 5131(b) to Permit Firms to Rely Upon a Written Representation From Certain Unaffiliated Private Funds
