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Events & Training

In a dynamic market, financial regulations change frequently because new technologies and opportunities for investors emerge. As the first line of oversight for the brokerage industry, FINRA is your best resource for information. We serve as a clearinghouse for all the latest compliance news, rules and regulations. Join us at our conferences, educational events and webinars to talk about what the newest developments mean for you.

Rules & Guidance

FINRA is here to help keep investors and their investments safe. To ensure this protection, we enact rules and publish guidance for securities firms and brokers. We involve a number of interested parties in rulemaking deliberations so that broker-dealers and investors can have confidence they are collaborating on a level playing field. Our relationship to these participants, as well as the SEC, puts us in the unique position to guard the integrity of the market

Notice To Members 83-2

TO: All NASD Members and Interested Persons

ATTENTION: REGISTRATION AND TRAINING PERSONNEL

The passage of the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA" or the "Act") has brought about changes in the tax law which will have an impact on the subject matter of the qualification examinations administered by the NASD. The chart at the end of this notice lists the areas affected by the Act and identifies by study outline section the examinations affected by the new tax laws. In addition, a brief explanation of these changes is included below.

Notice To Members 83-3

TO: All NASD Members

The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-case basis.

Notice To Members 83-4

TO: All NASD Members and NASDAQ Level 2 and 3 Subscribers

On February 8, 1983, 100 additional NASDAQ securities will enter the NASDAQ National Market System (NMS). As a result, real-time trade reporting will be required in these securities commencing on that date.

Notice To Members 83-5

TO: All NASD Members and Municipal Securities Bank Dealers

ATTN: All Operations Personnel

Securities markets and the NASDAQ System will be closed on Monday, February 21, 1983, in observance of Washington's Birthday. "Regular-Way" transactions made on the business days preceding that day will be settled according to the following schedule.

Trade Date-Settlement Date Schedule For "Regular-Way" Transactions

Trade Date

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