Are you looking beyond a traditional savings account to begin to invest in stocks, bonds or funds? Perhaps you’re looking for someone to help develop a road map for your financial future. These and other situations might make you consider contacting an investment professional.
Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
1. What is the Form BR?
Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through FINRA Gateway with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The OTC Bulletin Board is scheduled to start June 1. The OTC Bulletin Board includes the first real-time display of firm and nonfirm quotation information on potentially more than 10,000 thinly traded
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on proposed amendments to Article III, Section 35 of the NASD's Rules of Fair Practice that would: (1) subject advertisements and sales literature
SUGGESTED ROUTING*
Legal & ComplianceOperationOptionsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved two additions to the NASD's qualification and registration programs. The two new tests, which will be available for member use beginning January 2,
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
INFORMATIONAL
Anti-Money Laundering
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Compliance Programs
Money Laundering
Executive Summary
On October 26, 2001, President Bush signed the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT
Summary
FINRA has adopted amendments to its Codes of Arbitration Procedure (Codes) to modify the process relating to requests to expunge customer dispute information in the FINRA Dispute Resolution Services (DRS) arbitration forum. The amendments impose requirements on expungement requests (a) filed by an associated person during an investment-related, customer-initiated arbitration (customer
This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
