Do not limit my ability to purchase BITO or XBTF or ETCG or GBTC, etc please. I want to be able to buy any digital asset or crypto asset that are on the market. You don't need to limit my selection. Why I don't need your limitations is because: It Hurts Investors: It denies me the freedom to choose investments that could help me achieve long-term financial security. Is Arbitrary and
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security occurring outside of Normal Market Hours (9:30 a.m.
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
GUIDANCE
Trade Shredding
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Trading
Market OrdersRule 3380
Trade Shredding
Executive Summary
On February 24, 2006, the Securities and Exchange Commission
(SEC) approved new Rule 3380, Order Entry and Execution Practices,
which prohibits conduct known as "trade shredding."1 Specifically,
under the new
Calculation of days of suspension. When imposing suspensions, Adjudicators should consult the suspension range listed in the specific guideline applicable to the violation to determine whether the length of the suspension should be measured in business days or calendar days. When imposing a suspension that is measured in days, Adjudicators should specify business or calendar days.
Censures
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceRegistrationSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 4, 1992, the Securities and Exchange Commission (SEC) approved amendments to Parts II and III of Schedule C to the NASD's By-Laws permitting Direct Participation Program (DPP) Limited Principals and
FINRA CEO Robert Cook, members of the FINRA Board of Governors and FINRA staff provide updates from the December 2019 FINRA Board of Governors meeting.
Important Year 2000 Information
Based on milestones published by the Securities Industry Association (SIA), securities firms at this time should have a comprehensive Year 2000 program plan in place and be actively certifying third-party products and service providers for Year 2000 readiness. Firms also need to begin completing the repairs to any of their internal applications and testing these
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education Regulatory Element
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports, Priorities Letters and Reports on FINRA’s Examination and Risk Monitoring Program, to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.Assessment of
