Displaying 8261 - 8270 of 9026 Results
SEC Approves FINRA Rule Concerning Self-Trades
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
The Chartered Institute for Securities & Investment (CISI), the ICMA Centre at the Henley Business School and the Financial Industry Regulatory Authority (FINRA) of the US announce that they have joined forces to support and enhance education, training and certification in financial compliance.
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
15c3-1a(a) Definitions.
15c3-1a(a)(1) The term unlisted option shall mean any option not included in the definition of listed option provided in paragraph (c)(2)(x) of § 240.15c3-1.
15c3-1a(a)(2) The term option
SEC Approves Amendments Regarding Best Execution and Interpositioning
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined 10 firms a total of $43.5 million for allowing their equity research analysts to solicit investment banking business and for offering favorable research coverage in connection with the 2010 planned initial public offering of Toys"R"Us.
FINRA fined the following firms.
Barclays Capital
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After receiving a complete application, FINRA will review and process it within 60 calendar days.
Here's how the process works.
1. FINRA Conducts Preliminary Review of the Application
Once the application fee payment is verified and the application is submitted through FINRA's system for processing, FINRA staff will assess the application within 14 days to
GUIDANCE
Corporate Financing Fee
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal and Compliance
Senior Management
Operations
Corporate Financing
Fees
Public OfferingsRule 2710Rule 2720Schedule A to NASD By-Laws
Well-Known Seasoned Issuers (WSKIs)
Executive Summary
On January 24, 2007, NASD filed with the Securities and Exchange
Commission (SEC) for immediate effectiveness a rule
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a validation of all
Washington, DC - FINRA announced today that it imposed a $1.1 million fine on Banorte Securities International, Ltd. for unsuitable sales of Class B shares in off-shore mutual funds as well as failing to have adequate supervisory systems to monitor those sales.