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Notice of Contested Election and Ballots for Small Firm NAC Member Seat
SEC Approves Amendments to FINRA’s Code of Procedure
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendment would revise, simplify, and add a recordkeeping
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Regulatory
Senior Management
Financial and Operational Principals (FINOPs)
SEC Rule 15c3-1 (Net Capital Rule)
SEC Rule 15c3-3 (Customer Protection Rule)
SEC Rule 17a-5 (Reports to Be Made by Certain Brokers and Dealers)
Executive Summary
NASD is issuing this Notice to Members (NTM) to
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification.
General Information on FINRA’s Eligibility Requirements
Under the FINRA By-Laws, no person shall be admitted to or continued in
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 27, 2020 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading in
SEC Approval and Effective Dates for New Consolidated FINRA Rules
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
FINRA reminds members that option holders who hold expiring options have until 5:30 p.m. Eastern Time (ET) on the day of expiration to make a final exercise decision to exercise or not exercise the option.1 Members may establish an earlier time to accept exercise instructions for customer or non-customer accounts but may not accept instructions after 5:30 p.m. ET.2 Members should ensure customers