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2020 Risk Monitoring and Examination Priorities Letter
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Frequently Asked Questions about Branch Office Registration
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.
Notice to Members 05-48
GUIDANCE Outsourcing SUGGESTED ROUTING KEY TOPICS Legal and Compliance Operations Senior Management Due Diligence Outsourcing Supervisory Responsibilities Third-Party Service Providers Executive Summary NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to
Regulatory Notice 07-43
FINRA Reminds Firms of Their Obligations Relating to Senior Investors and Highlights Industry Practices to Serve these Customers
Notice to Members 04-78
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements; Effective Date: Anticipated April 2005; Specific Date to be Announced in Future Notice to Members
Notice to Members 03-77
REQUEST FOR COMMENT Disclosure of Mutual Fund Expense Ratios in Performance Advertising Comment Period Expires: January 23, 2004 SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Executive Representatives Legal & Compliance Mutual Fund Senior Management Advertising Mutual Fund Expenses Investment
Notice to Members 06-52
REQUEST FOR COMMENT Proposed Amendments to Rule 2720 SUGGESTED ROUTING KEY TOPICS Corporate Financing Legal & Compliance Senior Management Trading & Market Making Affiliate Conflicts of Interest Equity & Debt Offerings Investment Banking Qualified Independent Underwriter Rule 2710 Rule 2720 Underwriting Compensation Executive Summary NASD is issuing
Improving Examination Results - May 2006
May 2006 In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to NASD's routine examinations of firms. While each firm must establish its own compliance
Testimony on Banking, Housing, and Urban Affairs
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
Notice to Members 98-17
SUGGESTED ROUTING Senior Management Executive Representatives Legal & Compliance Registration Trading Training     Executive Summary     The Securities and Exchange Commission (SEC) recently approved amendments to the National Association of Securities Dealers, Inc. (NASD®)