[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...
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 (...
Online using FINRA’s comment form for thisNotice; Emailing comments to pubcom@finra.org; or Mailing comments in hard copy to: Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506
EXCHANGECOMMISSION(Release34-58095;FileSR-FINRA-2008-028)July2008Self-RegulatoryOrganizations;FinancialIndustryRegulatoryAuthority,Inc.;NoticeProposedRuleChangeAdoptFINRARule2010(StandardsCommercialHonorTrade),FINRARule2020(UseManipulative,DeceptiveOtherFraudulentDevices),FINRARule5150(FairnessOpinions)ConsolidatedFINRARuleb...
Russo failed to provide written notice to his member firm that he was engaged in outside business activities for compensation. While associated with a member firm, Russo opened an account with another member firm and failed to notify either his member firm or the executing member firm, in writi...