Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: December 12, 2008
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
GUIDANCE
Portfolio Margin Risk Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Options
Portfolio Margin
Portfolio Margin Risk Disclosure Statement
Rule 2520
Rule 2860
Executive Summary
As announced in Notice to Members (NTM) 07-11 (February 2007
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
In October 2005, NASD issued Notice to Members (NTM) 05-69
informing members of Securities and Exchange Commission (SEC)
INFORMATIONAL
Member Surcharges And Process Fees In Arbitrations
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration Fees
Code of Arbitration Procedure
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved increases to the member surcharges and process fees paid by member
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 29, 2019 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading in
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
Financial Exploitation of Seniors
Regulatory Notice
Notice Type
Rule Amendment and New Rule
Referenced Rules & Notices
FINRA Rule 2010
FINRA Rule 2140
FINRA Rule 2150
FINRA Rule 2165
FINRA Rule 3310
FINRA Rule 4521
FINRA Rule 11870
Regulation S-P
SEA Rule 17a-
