Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
SEC Approves Consolidated FINRA Rule Regarding Background Checks on Registration Applicants
SEC Approves Consolidated Telemarketing Rule
Continuing Education Planning
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
INFORMATIONAL
Best Execution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Best Execution
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Notice to reiterate the best execution obligations that apply to member firms when they receive, handle, route for
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 23, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Code of Arbitration Procedure (Code) clarifying the authority of arbitrators to issue injunctions. The amendments include a new section that permits parties in intra-industry disputes1 to seek emergency relief, called
Amendments to the Arbitration Rules on Fees Assessed Under the Postponement and Hearing Session Fee Rules
New Rate for Fees Paid Under Section 31 of the Exchange Act
DTCC to Provide FINRA Access to Participant Position Reports
