The Alberta Securities Commission (ASC) and the U.S. Financial Industry Regulatory Authority (FINRA) announced today that they have entered into a Memorandum of Understanding (MOU) to promote and support greater cooperation between the two regulators.
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Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 of the NASD® Membership and Registration Rules which prescribes
Additional Proposals Include Updates to Rules on Underwriting Arrangements and Desk Commentary
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today requested comment on its rules governing the participation of its member firms in capital raising, as part of a continuing effort to modernize its regulation of those activities while maintaining important protections for investors
Summary
FINRA is updating the imbedded text of Securities Exchange Act (SEA) financial responsibility rules in the Interpretations of Financial and Operational Rules to reflect the effectiveness of amendments the Securities and Exchange Commission (SEC) adopted1. The updated imbedded text relates to SEA Rules 15c3-1, 15c3-1a, 15c3-1b, 15c3-1d, 15c3-1e, 15c3-3, 15Fi-1 through 15Fi-5, 17a-3, 17a-4
FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
WASHINGTON and TORONTO - The Financial Industry Regulatory Authority (FINRA) and the Ontario Securities Commission (OSC) today announced they have entered into a Memorandum of Understanding (MOU) that will facilitate the exchange of information with respect to regulated entities that operate across the U.S.-Canadian border.
Washington D.C., May 23, 2019 – In recognition of the one-year anniversary of the passage of The Senior Safe Act, the North American Securities Administrators Association (NASAA), the U.S. Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) have issued a fact sheet to help raise awareness among broker-dealers, investment advisers, and transfer agents
Firms Elect Two Industry Governors to FINRA Board of Governors
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
SEC Approves Amendments to Require Firms to Report OTC Transactions in Equity Securities as Soon as Practicable, But No Later Than 10 Seconds, Following Execution
