(a) No member or employee of a member organization shall exercise any discretionary power in any customer's account or accept orders for an account from a person other than the customer without first obtaining written authorization of the customer, the signature of the person or persons authorized to exercise discretion in the account (and of any substitute so authorized), and the date such
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) No member or employee of a member organization shall exercise any discretionary power in any customer's account or accept orders for an account from a person other than the customer without first obtaining written
A firm is required to promptly update Form BD information by submitting amendments whenever the information on file becomes inaccurate or incomplete for any reason.Additionally, when a FINRA member firm plans to undergo a material change in business operations it is required to file a Continuing Membership Application (CMA) with FINRA’s Membership Application Program (MAP) Group prior to
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to Schedule C of the NASD By-Laws relating to the premembership interview process for applicants for NASD membership. The
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Regulation;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange Commission;
(e) "
Thank you, Kayte [Toczylowski, FINRA’s head of Member Relations and Education], and good morning, everyone. It is so wonderful to see you. I am delighted to join Kayte in welcoming you to the 2023 FINRA Annual Conference.
Comment Period Expires: August 28, 1995
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers.
SEC Announces Approval of Amendment to NASD's Minor Rule Violation Plan (MRVP) to Include Failure to Timely Submit Amendments to Form U5
