GUIDANCE
Structured Products
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Derivatives
Options
Structured Products
Structured Securities
Executive Summary
As a result of a recent review of members that sell structured
products, NASD staff is concerned that members may not be
fulfilling their sales practice obligations when selling
ACTION REQUIRED
Financial Accounting
SUGGESTED ROUTING
KEY TOPICS
Accounting
Financial Compliance
Operations
Senior Management
Financial Accounting
FOCUS Reporting
Net Capital
Executive Summary
In May 2003, the Financial Accounting Standards Board (FASB) released Statement No. 150, Accounting for Certain Financial
FINRA Requests Comment on Proposed Amendments to NASD Rule 2340 to Address Values of Unlisted Direct Participation Programs and Real Estate Investment Trusts
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
INFORMATIONAL
SEC Interpretive Guidance
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Trading & Market Making
Blank Check Companies
Freely Tradeable Securities
Executive Summary
A unit of the NASD Regulation, Inc. (NASD RegulationSM) Market
FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
FINRA Requests Comment on a Proposal to Establish a Publicly Accessible Online Repository of Form 211 Information
Testimony of Chairman and CEO Richard G. Ketchum Before the Subcommittee on Oversight and Investigations Committee on Financial Services
ACTION REQUIRED
PORTAL-Designated Equity Securities Directory
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Operations
Trading & Market Making
ACT
PORTAL
Executive Summary
Nasdaq® is publishing a list of PORTAL®-designated equity securities for the reporting requirements of PORTAL equity transactions that will be effective on June 16, 2001.
On March
