WebApr 8, 2024 · Finra sets the ex date, if if you read the notice like we did, you'd have known like we did in 12/6 that 12/8 was the last day. there was no trading after 12/8 possible. ... 08 Apr 2024 20:57:32 ... WebFINRA Rule 2010. Regulatory Notice 16-06, SEC Approval of FINRA Funding Portal Rules and Related Forms, 2016 FINRA LEXIS 6 at *8 (Jan. 2016) (the “ Approval Order ”). Accordingly, as with FINRA Rule 2010 in the broker-dealer context, any violation of the federal securities laws or FINRA rules also is a violation of Funding Portal Rule 200(a).
FINRA’s guidance to broker-dealers on pandemic preparedness ...
WebMay 28, 2024 · In citing to Regulatory Notice 20-08, FINRA states that, “in an effort to mitigate the impacts of a pandemic, a member may consider employing methods such as social distancing, travel restrictions, revised sick leave policies, special pandemic leave time, or specialized seating plans for densely populated floors or buildings.” WebFeb 10, 2010 · The FINRA Rules apply to all FINRA member firms, unless such rules have a more limited application by their terms. For more information about the rulebook … task force 90181 manual
What Does the BCP FINRA Rule 4370 Update Mean for Your Firm?
Web9 See FINRA Regulatory Notice 20-08 (March 2024) (“Regulaotry 08”); see also Notice at note 5. 10 See Notice at 47249. 3 residence at which certain supervisory functions occur … WebMar 18, 2024 · Finally, FINRA indicated that Regulatory Notice 20-08 will remain effective until a subsequent notice of cessation is published. Background. Under FINRA Rule 4370, … WebJan 4, 2024 · FINRA observed that the Rule’s “flexible, non-prescriptive, and risk-based approach has been effective in ensuring firms of all sizes are prepared for potential business disruptions.” Additionally, during the early stages of the pandemic, FINRA also published Regulatory Notice 20-08 , which recommended that member firms review their plans for … task force 809 spectre