Good afternoon and thank you for inviting me to spend some time with you discussing complex products. I'm sure you know that this has been a priority for FINRA examiners. I would like to share some of what we have learned so far.
Executive Summary
On April 17, 1998, in Release No. 34-39883, the Securities and Exchange Commission (SEC) approved an amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 3010 to require members to establish special supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On November 4, 1997, in Release No. 34-39294, the Securities and Exchange Commission (SEC or
ACTION REQUESTED
Regulation Of Shelf Offerings
Comment Period Expires: October 15, 2001
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
IM-2440
Mark-Up Policy
Merchant Banking
NASD Rule 2710
NASD Rule 2720
NASD
Notice of FINRA Regional Committee Elections and Ballots
Sales Practice Obligations for Commodity Futures-Linked Securities
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
SEC Approves Proposed Rule Change to Amend the Submission Agreement and Related Rules in the Arbitration Codes for Customer and Industry Disputes
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Suggested Routing
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology Trading and Market Making Training
Debt Securities
Operations
Rule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
Currently, NASD
Neutral Corner - October 2007
