GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Registration
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members
(NTM) 06-37 and replace the guidance provided in that Notice
relating to the application of the Trading Activity Fee
April 20th marks the three-year anniversary of the Senior Helpline, which FINRA launched to provide senior investors a source of trustworthy information and assistance. The Helpline's dedicated staff has taken over 13,000 calls, including over 1,000 so far in 2018.
The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a $1 million fine against E*Trade Securities, LLC and E*Trade Clearing, LLC, collectively, for failing to establish and implement anti-money laundering (AML) policies and procedures that could reasonably be expected to detect and cause the reporting of suspicious securities transactions.
Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It's much more than an inconvenience—it can devastate your credit rating and derail financial security.
The Financial Industry Regulatory Authority (FINRA) and the International Foundation of Employee Benefit Plans today launched a partnership to broadly disseminate two online resources to help companies and their older workers protect themselves from early retirement scams.
TO: All NASD Members and Other Interested Persons
On December 30, 1983, the staff of the SEC's Division of Market Regulation agreed to an extension of the temporary relief it previously granted under Rule 15e3-l (the "net capital" rule) and Rule 15c3-3 (the "customer protection" rule). This temporary relief, which was scheduled to expire on December 31, 1983, provides an
FINRA Requests Comment on the Reduction of the Delay Period for Historic TRACE Data
The Financial Industry Regulatory Authority (FINRA) today issued an updated Investor Alert warning international investors about a new twist in advance-fee fraud involving low-priced US securities. Con artists have been misusing FINRA's name and impersonating FINRA employees in email communications in an apparent attempt to lend a false air of legitimacy to their schemes
