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) Decision of National Adjudicatory Council, Including Remand
In an appeal or review of a disciplinary proceeding governed by the
When adopting cloud computing on a partial basis, firms typically targeted workloads that could be significantly improved because of the operational benefits provided by the cloud. Some of the key types of applications firms are beginning to deploy on the cloud include the following:
Productivity SaaS applications: Firms migrating to the cloud often seek to become consumers of SaaS products for
This data provides total and average daily trading volumes for the prior month in corporate, agency and securitized products reported to TRACE. Learn more about corporate, agency and other bonds.
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TRACE (Trade Reporting and Compliance Engine), the FINRA-developed vehicle that facilitates the mandatory reporting of over-the-counter transactions in
Except for the FINRA Rule 9700 Series, all capital acquisition broker members shall be subject to the FINRA Rule 9000 Series, unless the context requires otherwise, provided, however, that:
(a) the term "associated person" as used in the FINRA Rule 9000 Series shall mean "associated person of a capital acquisition broker" or "person associated with a
FINRA develops Investor Insights and other content in order to help educate investors about important investing issues. FINRA encourages other companies and organizations to link to this content or to place this content directly on their websites in accordance with outlined guidelines. Requestors must obtain permission in writing from FINRA prior to reprinting FINRA copyrighted materials.
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Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD's
INFORMATIONAL
Corporate Debt Securities
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KEY TOPICS
Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training
Debt Securities Dissemination OperationsRule 6200 Series Transaction Reporting
Executive Summary
On January 31, 2003, the Securities and Exchange Commission (SEC or Commission) approved an amendment to
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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Securities regulators raise awareness that increased social isolation during the ongoing COVID-19 pandemic can have a devastating impact on senior investors, offering tips and resources.
