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Summary of selected FINRA Regulatory Notices

Henry A. Davis (Editor of the Journal of Investment Compliance)

Journal of Investment Compliance

ISSN: 1528-5812

Article publication date: 27 November 2007

73

Abstract

Purpose

The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued in July and August 2007. In July 2007, FINRA Regulatory Notices replaced NASD Notices to members.

Design/methodology/approach

The paper provides excerpts from NASD Notice to Members 07‐32 (July 2007), Annual Certification of Compliance and Supervisory Processes; FINRA Regulatory Notice 07‐34 (August 2007), “New Issue” Rule; FINRA Regulatory Notice 07‐36 (August 2007), Supervision of Recommendations after a Registered Representative Changes Firms; FINRA Regulatory Notice 07‐37 (August 2007), Options Position and Exercise Limits; FINRA Regulatory Notice 07‐39 (August 2007), Order Audit Trail System (OATS); and FINRA Regulatory Notice 07‐40 (August 2007), Three Quote Rule.

Findings

The paper finds useful information in each of these notices.

Originality/value

The paper provides direct excerpts that are designed to provide a useful digest for the reader and an indication of regulatory trends.

Keywords

Citation

Davis, H.A. (2007), "Summary of selected FINRA Regulatory Notices", Journal of Investment Compliance, Vol. 8 No. 4, pp. 60-67. https://doi.org/10.1108/15285810710839570

Publisher

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Emerald Group Publishing Limited

Copyright © 2007, Emerald Group Publishing Limited

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