Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
If you’re not careful, holiday expenses—including non-gift items and entertainment costs—can add up quickly. Follow these four steps to set a thorough holiday budget and keep spending under control.
SummaryFINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).Questions concerning this Notice should be directed to your firm’s Risk Monitoring Analyst.BackgroundThe following is guidance for member firms affected by the recent failures of SVB and Signature.For Members with Deposits at SVB and
Two important regulatory developments relate to obtaining customer information: the Anti-Money Laundering Customer Identification Rule and the SEC's Books and Records Customer Account Records Rule. These rules require that important customer identification be obtained. However, these rules have critical differences including their purposes, their definitions, and their timing requirements. We created this document to assist our member firms. It contains brief summaries of the rules' relevant provisions.
FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices.
Agenda
Wednesday, October 16
12:00 p.m. – 5:00 p.m.
Registration
1:00 p.m. – 1:05 p.m.
StatePercentage Answering 5 or More Financial Knowledge Questions CorrectlyPercentage Answering Inflation Question CorrectlyAlabama20.17%54.30%Alaska29.51%57.15%Arizona24.39%59.65%Arkansas24.17%56.42%California31.11%58.46%Colorado33.89%62.60%Connecticut28.92%61.56%Delaware29.31%57.35%District of Columbia34.41%57.41%Florida25.68%55.95%Georgia25.51%55.92%Hawaii31.27%61.62%Idaho29.37%62.98%
These Rules of Conduct set forth the terms and conditions of your participation in a Regulatory Element Continuing Education (CE) session. You must read and agree to the following statements before starting your Regulatory Element CE session.
I understand that if I violate any of the following rules of conduct, my CE session results will be forfeited and I may be subject to disciplinary action
(a) Obligations of the Registered Person
(1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied:
(A) The customer is a member of the registered person's immediate family; or
(B) Upon learning of such status, the
On the Front Lines of Investor Protection
Sec. 11.5 (a) The Board may make such rules and regulations as it may deem expedient, not inconsistent with law, the Restated Certificate of Incorporation, or these By-Laws, concerning the issuance, transfer, and registration of shares of capital stock of FINRA Regulation. The Board may appoint, or authorize any principal officer to appoint, one or more transfer agents or one or more
