Can I read FINRA Rule 5270: Front Running Policy on EtoBox?

FINRA Rule 5270: Front Running Policy by Dean Carson is a document available to read on EtoBox.

What is FINRA Rule 5270: Front Running Policy about?

The document discusses proposed changes to FINRA Rule 5270 regarding front running of block transactions. It provides details on the current Front Running Policy under NASD rules and the process of adopting the policy into the Consolidated FINRA Rulebook. The changes aim to adopt the existing Front Running Policy as FINRA Rule 5270 with some updates while maintaining the same prohibitions against using material non-public information to front run imminent block transactions.

Author

Dean Carson

Language

EN