Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Price Validation and Price-Override Protocol
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
Summary
The purpose of this Notice is to inform FINRA small firm members of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, representing the North and West Regions.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firms. The SFAC meets five times a
FINRA Requests Comment on Proposed FINRA Rules Governing Markups, Commissions and Fees
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In light of the recent approval of the new and increased listing standards for The Nasdaq Stock MarketSM (Nasdaq®), the Securities and Exchange Commission (SEC) has again provided an exemption from the filing requirements of SEC Rule 15c2-11 for certain securities
February 20, 2015
Mr. Gregory J. Nowak
Pepper Hamilton LLP
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, PA 19103-2799
Re: FINRA Rule 5130 - Restrictions on the Purchase and Sale of Initial Equity Public Offerings
Dear Mr. Nowak:
This is in response to your letter dated December 3, 2014, in which you request interpretive guidance on behalf of PCV Lux, SCA ("PCV
