WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today announced the recipients of its higher-education awards created to recognize outstanding analyses by researchers-in-training who seek to advance understanding of consumer well-being and the complex relationships among financial literacy, financial capability and financial well-being.
The three awards were presented in
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members (see Attachment
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On August 12, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Part III, Section 41(f) of the Code of Arbitration Procedure (Code) making all NASD arbitration awards publicly available. The amendment is effective October 1, 1993. The text of the amendment follows this Notice.
Background
SFTP Fees for Trade Journal Files
Firms that choose to subscribe to the TRACE, ORF, ORF Clearing, and/or ADF Data Delivery SFTP services will be assessed monthly charges for each MPID or clearing number they enroll in each service. Charges will appear in each facility's bill (e.g., TRACE charges will be included in the firms' monthly TRACE bills, ORF charges will be included in the
SUGGESTED ROUTING*
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Section 59 of the NASD's Uniform Practice Code, which
SummaryFINRA is issuing this Notice to remind member firms of longstanding Securities and Exchange Commission (SEC) and FINRA rules and guidance concerning best execution and payment for order flow, which the SEC has defined very broadly to refer to a wide range of practices including monetary payments and discounts, rebates, or other fee reductions or credits. Under these rules and guidance,
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
The Anti-Money Laundering (AML) section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
TO: All NASD Members and Other Interested Persons
On March 17, 1986, several amendments to SEC Rule 10b-10, the customer confirmation rule, will become effective. The amendments will require broker-dealers to report on customer confirmations trade prices and mark-ups and mark-downs in principal transactions in reported securities. "Reported securities" include NASDAQ National Market