TY  - JOUR
AB  - Purpose– The purpose of this paper is to provide excerpts of selected Financial Industry Regulatory Authority (FINRA) Regulatory Notices issued from January to March 2008 and a sample of disciplinary actions during that period. In July 2007, FINRA Regulatory Notices replaced NASD Notices to Members.Design/methodology/approach– The paper provides excerpts from Regulatory Notice 08‐04, Delta Hedging Exception; 08‐08, Auction Rate Securities; 08‐09 Portfolio Margin Accounts; 08‐10, Options Position and Exercise Limits; 08‐12, Principal Approval of Sales Material; and 08‐13, Short Interest Reporting Requirements.Findings– The paper reveals current regulatory trends.Originality/value– The paper provides direct excerpts designed to provide a useful digest for the reader and an indication of regulatory trends.
VL  - 9
IS  - 2
SN  - 1528-5812
DO  - 10.1108/15285810810886225
UR  - https://doi.org/10.1108/15285810810886225
AU  - Davis Henry A.
PY  - 2008
Y1  - 2008/01/01
TI  - Summary of selected FINRA Regulatory Notices and Disciplinary Actions: January‐March 2008
T2  - Journal of Investment Compliance
PB  - Emerald Group Publishing Limited
SP  - 65
EP  - 79
Y2  - 2024/04/25
ER  -