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Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Testimony Before the Subcommittee on Oversight and Investigations Committee on Financial Services
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
Regulatory Notice 13-31
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Election Notice – 7/21/17
Notice of Annual Meeting of FINRA Firms and Proxy
Statement Before the Financial Services Committee U.S. House of Representatives
Chairwoman Waters, Ranking Member McHenry and Members of the Committee: Introduction On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
Regulatory Notice 11-25
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Notice To Members 92-8
SUGGESTED ROUTING:* Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
Regulatory Notice 11-04
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5122 to Address Member Firm Participation in Private Placements
Notice To Members 90-56
SUGGESTED ROUTING* Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations *These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
Broker Dealer Firms We Regulate - A
A. P. SECURITIES, INC.15 WATERVIEW DR, CENTERPORT, NY 11721Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721A.BRIDGE REALVEST SECURITIES CORPORATION244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656A.G. QUINTAL INVESTMENT COMPANY INC.2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316A.G.P. / ALLIANCE GLOBAL PARTNERS88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880A5 SECURITIES LLC375 WEST END AVE UNIT 10D,