FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SEC Approves Consolidated FINRA Rules Governing Books and Records
SEC Approval and Effective Dates for New Consolidated FINRA Rules
NTM 06-60 is superseded by NTM 06-72GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2008 registration renewal process. Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon.
I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and efficient capital markets. Since joining FINRA a few months ago, I have had good conversations with SIFMA members and staff about a variety of industry issues and I
GUIDANCE
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Registration
Research
Senior Management
Training
Qualification Examinations
Registration
Research Reports
Rule 1050
Supervision
Executive Summary
NASD
SUGGESTED ROUTING
Legal & Compliance
Options
Trading
Executive Summary
On April 20, 1995, the Securities and Exchange Commission (SEC) approved an NASD® proposal to amend Section 33(b)(3) of the NASD Rules of Fair Practice to increase the position and exercise limits for certain equity securities that are not subject to standardized options trading.1 Specifically, with
