FINRA Cautions Members Regarding Recommending and Entering Unpriced Customer Orders at and Around the Opening on the First Day of Trading of a Direct Listing
FINRA Reminds Firms of Upcoming Changes to BrokerCheck
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Executive Summary
On April 11, 1994, The Nasdaq Stock Market, Inc., began operation of the Fixed Income Pricing System (FIPS) for members trading high-yield bonds. Initially, 35 bonds were designated as FIPS issues requiring quotation entry by brokers and dealers. The
A segment of financial institutions, including broker-dealers, are actively experimenting with incorporating the metaverse and its immersive technologies.40 Metaverse technologies can include VR and AR, but these are not the only portals to the metaverse. Users can access virtual worlds through laptops, gaming consoles and phones.41Some firms indicated that they are examining how to leverage
2019 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Upcoming Election to Fill FINRA District Committee Vacancies
2012 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
Notice of Annual Meeting of FINRA Firms and Proxy
Administrative Changes to the Continuing Education Regulatory Element Programs
At the request of the Securities and Exchange Commission ("SEC"), NASD convened and led a Joint NASD/Industry Breakpoint Task Force, with representatives from, among others, Investment Company Institute ("ICI"), Securities Industry Association ("SIA"), National Security Clearing Corporation ("NSCC"), broker/dealers, mutual funds, and transfer agents, to examine the difficulties that the financial industry experienced delivering breakpoint discounts on Class A mutual fund share sales and to develop recommendations to facilitate the complete and accurate delivery of breakpoint discounts in the future.
