FINRA Issues Notice On the Application of the Mark-Up Rule to Exempted Government Securities Transactions

FINRA Issues Notice On the Application of the Mark-Up Rule to Exempted Government Securities Transactions

The Financial Industry Regulatory Authority released Regulatory Notice 16-03, which discusses the Securities and Exchange Commission’s approval of amendments to FINRA Rule 0150 (Application of Rules to Exempted Securities Except Municipal Securities).

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FINRA’s 2016 Examination Priorities Identifies New Initiatives On Market Integrity and Firm Culture and Further Concern On Supervision and Controls

FINRA’s 2016 Examination Priorities Identifies New Initiatives On Market Integrity and Firm Culture and Further Concern On Supervision and Controls

The recently issued 2016 Regulatory and Examination Priorities Letter discloses FINRA’s new initiatives on market integrity and firm culture and reflects a focus on firms’ supervision regarding conflicts of interest and technology.

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Notice of Filing of a Proposed Rule Change to Adopt the Capital Acquisition Broker Rules

Notice of Filing of a Proposed Rule Change to Adopt the Capital Acquisition Broker Rules

The Securities and Exchange Commission is seeking comments on a Financial Industry Regulatory Authority proposal to create a set of rules for FINRA member firms that meet the definition of “capital acquisition broker” (CAB) and elect to be governed by the rules.

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