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Next Step in an Ongoing Program to Protect Investors
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors approved the next step in FINRA's ongoing initiative to strengthen controls on brokers with a history of significant past misconduct and to ensure greater accountability for firms that choose to employ high-risk brokers.
FINRA soon plans to issue a
Executive Summary
NASD is issuing this Notice to Members to remind member firms and registered financial and operations principals (FINOPs) of a FINOP's duties and responsibilities under Rule 1022 (Categories of Principal Registration). These duties are applicable to all FINOPs, regardless of whether they are employed full-time or part-time, perform such duties on-site or off-site of the
As announced in NASDAQ Head Trader Alert #2007-205, NASDAQ OMX has entered into an agreement to acquire the Boston Stock Exchange and related assets, which includes a second self regulatory organization ("SRO") license. Following SEC approval, NASDAQ OMX intends to use this SRO license to operate a second quote in U.S. equity securities called NASDAQ BX.
As recently announced, NASDAQ OMX PSX (PSX) is a new equity trading platform scheduled to launch in the second quarter of 2010, pending Securities and Exchange Commission (SEC) approval.
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) issued an Investor Alert today warning investors about the risks of speculating on natural disasters with event-linked securities, such as catastrophe bonds or "cat bonds." Cat bonds offer high yields but can quickly lose most or all of their value if a triggering event, such as a hurricane, earthquake or pandemic, occurs in specified geographical regions.
ACTION REQUIRED
Broker/Dealer and Investment Adviser Renewal Program
Payment Deadline: December 6, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Comment Period Expired: March 31, 2017
TOKYO and WASHINGTON — The U.S. Financial Industry Regulatory Authority (FINRA) and Japan Securities Dealers Association have entered into a Memorandum of Understanding (MOU) to support more robust cooperation between the two regulators.
Suggested Routing
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Executive Summary
The Securities and Exchange Commission (SEC) is requesting comments on proposed amendments to the broker/dealer books and records rules. The proposed amendments clarify, modify, and expand recordkeeping requirements with respect to purchase and sale documents, customer records
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form