SEC Approves Amendments to Require Firms to Report Transactions in TRACE-Eligible Securities As Soon As Practicable
Board Approves Rule Proposals, Welcomes New Governor and Confirms Committee Appointments
WASHINGTON – FINRA’s Board of Governors met on Sept. 26-27 at FINRA’s offices in New York, where it approved four rule proposals, welcomed a new Governor and made several standing committee appointments.
At the September 2018 meeting, the FINRA Board continued its engagement with key stakeholders by meeting
Comment Period Expires January 31, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
NASD Regulation, Inc., is soliciting member comment on a proposal to discontinue after January 1, 1999, complimentary hard copy distribution of NASD Notices to Members and NASD Regulatory & Compliance Alert, which are currently available for free on the NASD
Rulemaking topics discussed include:
agency pass-through mortgage-backed securities and securities backed by Small Business Administration transactions,
deferred compensation arrangements and filing exemption for ETF offerings,
margin requirements for credit default swaps, and
spinning.
WASHINGTON - On October 14, 2010, the FINRA Investor Education Foundation released the Military Survey - one of three linked surveys analyzing the financial capability of American adults.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wells Investment Securities, Inc. $300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, Inc., a non-traded Real Estate Investment Trust (REIT).
There are custom homes, custom cars and custom clothes. Now, there are even custom index funds. Non-traditional, or custom, index funds generally use more complex or targeted investing strategies than traditional index funds. Here’s what you should know before going custom.
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today issued an Investor Alert warning investors about putting their assets into riskier and sometimes complex products that promise higher returns than more traditional investments.
Integration of Enforcement Functions Complete; Unified Enforcement Program Key Outcome of FINRA360
WASHINGTON – FINRA announced today the Department of Enforcement’s new structure and senior leadership team. This marks the completion of the final phase of the integration of FINRA’s enforcement functions—a process that began with the July 2017 promotion of Susan Schroeder to FINRA’s Head of
Comment Period Expires October 3, 1994
SUGGESTED ROUTING
Senior Management Corporate Finance Institutional Legal & Compliance Mutual Fund
Executive Summary
The NASD requests member comment on proposed amendments to Article III, Sections 26 and 29 of the Rules of Fair Practice that would revise existing rules applicable to the sale of investment company securities and establish new rules
