Summary of selected FINRA Regulatory Notices and Disciplinary Actions
Abstract
Purpose
The purpose of this summary is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from October to December 2007 and a sample of disciplinary actions during that period. In July 2007, FINRA Regulatory Notices replaced NASD Notices to Members.
Design/methodology/approach
Provides excerpts from FINRA Reg Notice 07‐54, Fairness Opinions; Reg Notice 07‐57, Representation of Parties in Arbitration and Mediation; Reg Notice 07‐59, Supervision of Electronic Communications; Reg Notice 07‐61, Trade Reporting and Compliance Engine (TRACE), and Reg Notice 07‐65, Amendments to NYSE Rule 409(f).
Findings
The paper finds useful information in each of these Notices.
Originality/value
These are direct excerpts designed to provide a useful digest for the reader and an indication of regulatory trends. The FINRA staff is aware of this summary but has neither reviewed nor edited it. For further detail and FINRA contacts for each notice, as well as other notices and useful information, the reader is directed to www.finra.org
Keywords
Citation
Davis, H.A. (2008), "Summary of selected FINRA Regulatory Notices and Disciplinary Actions", Journal of Investment Compliance, Vol. 9 No. 1, pp. 45-56. https://doi.org/10.1108/15285810810859324
Publisher
:Emerald Group Publishing Limited
Copyright © 2008, Emerald Group Publishing Limited