FINRA’s Enforcement Department is conducting an inquiry with respect to forex trading.
Executive Summary
The purpose of this Election Notice is notify FINRA small firm members that ballots to elect one New York Region representative to the Small Firm Advisory Committee (SFAC) have been mailed to all eligible firms. FINRA small firm members1 in the New York Region as of the close of business on Friday, October 18, 2019, are eligible to vote in these elections. All eligible firms
FINRA issued $85.5 million in fines in 2023 , and the Board determined that there were $97.8 million in fines-eligible expenditures in 2023 (i.e., capital initiatives, strategic expenditures and other activities eligible to be funded by fine monies based on the criteria set forth above). Because the total of fines-eligible expenditures exceeded the amount of fines issued in 2023, the balance of $12.3 million was funded from FINRA’s reserves and excess operating results.
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
On March 3, 1998, the Securities and Exchange Commission (SEC) approved changes to the Continuing Education rules of the National Association of Securities Dealers
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 (formerly Schedule C, Part XII of the NASD® By-Laws) of the NASD Membership and Registration Rules which prescribes requirements for the Securities Industry Continuing Education Program (Program). The Program has two elements-a Regulatory Element and a Firm Element, and became effective July 1
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
The Department of the Treasury (Treasury) is granting an exemption from the haircut treatment for written mortgage-backed options under Section 402.2a of the Treasury regulations implementing the Government Securities Act of 1986. Treasury
When purchasing securities, you may pay for them in full or may borrow part of the purchase price from your securities firm. If you choose to borrow funds from a firm, you must open (or have) a margin account with the firm. Some brokerage firms use margin accounts as their default type of account.The portion of the purchase amount that you must deposit is called margin and is
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On January 26, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Article VI, Section 3 of the NASD By-Laws that permits the NASD to institute revocation proceedings against any member or associated person that fails to pay an arbitration award rendered by an NASD panel if a
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 14, 1991. On this day, the Nasdaq system and the exchange markets will be
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Part 111, Section 5 of Schedule D to the NASD By-Laws to provide nonquantitative designation criteria for limited partnerships that list on the Nasdaq
