Abstract
PurposeThe 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/approachThe 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.FindingsThe paper reveals current regulatory trends.Originality/valueThe paper provides direct excerpts designed to provide a useful digest for the reader and an indication of regulatory trends.
Sign-in/Register to access full text options 
Free) 
Talk to us
Join us for a 30 min session where you can share your feedback and ask us any queries you have
Schedule a call
