February 27, 2015
February 26, 2015
February 25, 2015
FINRA Provides Guidance on Rules Governing Communications with the Public
The Securities and Exchange Commission approved a rule change by the Financial Industry Regulatory Authority pursuant to which National Association of Securities Dealers (NASD) Rules 2210 and 2211 and NASD Interpretive Materials 2210-1 and 2210-3 through 2210-8 are to be adopted as FINRA Rules 2210 and 2212 through 2216 (the Communications Rules). The Communications Rules become effective on February 4. To provide additional guidance on compliance with the Communications Rules, FINRA has published a set of questions and answers on its website. The questions and answers cover a number of topics, including internal communications, transitional filing issues, new member firms, retail structured products, recommendations and public appearances.
- Better Culture; Accountants; London Whale; Asset-Backed Securities; Collusive Activity; Cybersecurity - Bridging the Week: October 20-27, 2014 [VIDEO]
- SEC Sanctions Athena in First High-Frequency Trading Manipulation Case
- Committee on Payments and Market Infrastructures-International Organization of Securities Commissioners (CPMI-IOSCO) Recovery of Financial Market Infrastructures Report