[19] Regulatory Notice 22-05 at 4. [20] Id. at 6 n.16. [22] Regulatory Notice 22-05 at 2. [23] Id. at 1-2. FINRA also reminds member firms that, with respect to the best execution obligation, “nothing under the federal securities laws or FINRA rules obligate...
Format Changes and Timeline On November 15, 2021, FINRA/NYSE TRF will begin supporting timestamps with up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA's equity trade report rules. Please refer to FINRA Regulatory Notice 20-41 for additional information ...
On May 1, 2024, the Financial Industry Regulatory Authority (FINRA) proposed a new Rule 6500 Series to implement its Securities Lending and Transparency Engine (SLATE™).1The new rule series is mandated by Rule 10c-1a under the Securities Exchange Act of 1934 (...
ensure that the broker recruiting protocol is followed (for signatories), and defend against promissory note enforcement. In addition, our FINRA arbitration attorneys also help financial advisors, branch managers, RIAs, and financial executives with severance, regulatory issues, letters of education,...
the SEC also published a concept release on the electronic corporate bond and municipal securities market as part of the SEC’s review of the regulatory framework for fixed income electronic trading platforms in response to recommendations from the FIMSAC.35Do members have views on whether the chan...
(iii) the Regulatory Approvals set forth on Schedule 4.3, no Regulatory Approval from, or registration, declaration, notice or filing with, any Governmental Entity is required to be made or obtained by the Investor in connection with the execution, delivery and performance of this Agreement and ...
FINRA NMA expert, Mitch Atkins, FINRA’s former Regional Director for the South Region, has extensive experience working with the FINRA new member application, or NMA process. ContactMitch Atkins, Principal,FirstMark Regulatory Solutionsfor more information on how you can shorten your FINRA membership...
EXCHANGECOMMISSION(Release34-58095;FileSR-FINRA-2008-028)July2008Self-RegulatoryOrganizations;FinancialIndustryRegulatoryAuthority,Inc.;NoticeProposedRuleChangeAdoptFINRARule2010(StandardsCommercialHonorTrade),FINRARule2020(UseManipulative,DeceptiveOtherFraudulentDevices),FINRARule5150(FairnessOpinions)ConsolidatedFINRARuleb...
Unlike many rules in FINRA's Rulebook, Rule 2081 says what it means and means what it says. Similarly,FINRA Regulatory Notice 14-21: "SEC Approves FINRA Rule 2081 Regarding Prohibited Conditions Relating to Expungement of Customer Dispute Information / Effective Date: July 30, 2014"clarifies th...
This is the notice that is used to obtain an underwriter for municipal bonds. Underwriters who are interested in bidding on municipal offerings will review the official notice of sale to determine if they would like to submit a bid to the issuer. ...