January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
REQUEST FOR COMMENT
Sales Contests and Non-Cash Compensation
Comment Period Expires August 5, 2005
SUGGESTED ROUTING
KEY TOPICS
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Sales Contests
Non-Cash Compensation
Executive Summary
NASD currently
Cover Letter from FINRA Chairman and CEO, Rick Ketchum
January 11, 2013
Today, FINRA published its eighth annual
2013 Regulatory and Examination Priorities Letter
to highlight the key issues that are significant to our regulatory programs. This letter is an important part of our work to support your efforts to regularly update your compliance capability. It is my
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
To become registered, securities professionals must pass qualifying exams administered by FINRA to demonstrate their competence in the particular securities activities in which they will work. An individual must pass the exams prior to engaging in those areas of the business.
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
Executive Summary
The Annual Meeting of Members of NASD will be held on February
3, 2006 at 10 am in the NASD Visitors Center, 1735 K Street, NW,
in Washington, DC. The purpose of the meeting is to conduct the
election of Governors to the NASD Board. Members can raise other
topics for
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development
ACTION REQUIRED
NASD Rule 3070 System Requirements
SUGGESTED ROUTING
KEY TOPICS
Chief Compliance Officer
Legal and Compliance
Operations
Senior Management
NASD Rule 3070 System Requirements
Executive Summary
NASD Rule 3070(c) requires members to report to
April 10, 2003 2:00 P.M.
Kyra:
Hello. Good afternoon and welcome to the Regulatory and Compliance Workshop. My name is Kyra Armstrong. I'm an attorney in Member Regulation, as are Emily Gordy and Vicky Berberi-Doumar. From NASD, we also have Patricia Albrecht from the Office of General Counsel and George Walz from our Department of Member Regulation's Examination Program Group. Today
GUIDANCE
Equity-Indexed Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Executive Representatives
Insurance
Variable Contracts
Equity-Indexed Annuities
Rule 3030 (Outside Business Activities
of an Associated Person)
Rule 3040 (Private
