Displaying 1341 - 1350 of 1663 Results
Regulatory Notice 18-07
Extension of Time Requests Relating to FINRA Rule 4210
Regulatory Notice 15-20
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
Regulatory Notice 21-28
Summary FINRA has adopted new Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems),1 which implements additional requirements for firms that operate systems that regularly disseminate the quotations of identified broker-dealers in OTC Equity Securities (each an “inter-dealer quotation system” or “IDQS”).2 Rule 6439 will become effective on October 1, 2021, except for paragraph (d)(
Regulatory Notice 16-29
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
Regulatory Notice 16-18
SEC Approves Rule Requiring Delivery of an Educational Communication to Customers of a Transferring Representative
Cybersecurity and Technology Management
The Cybersecurity and Technology Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Regulatory Notice 13-27
SEC Approves Amendments to FINRA Rule 8313 (Release of Disciplinary Complaints, Decisions and Other Information)
Key Challenges and Regulatory Considerations
AI-based applications offer several potential benefits to both investors and firms, many of which are highlighted in Section II. Potential benefits for investors include enhanced access to customized products and services, lower costs, access to a broader range of products, better customer service, and improved compliance efforts leading to safer markets. Potential benefits for firms include
Remarks from the Investment Program Association Fall Conference
Remarks from the Investment Program Association Fall Conference
Notice to Members 05-21
REQUEST FOR COMMENT Proposed Rule to Enhance Confirmation Disclosure in Corporate Debt Securities Transactions Comment Period Expires April 19 SUGGESTED ROUTING KEY TOPICS Legal and ComplianceOperationsRegistered Representatives Senior ManagementTechnologyTraining ConfirmationsDebt SecuritiesOperationsTransaction Reporting Executive Summary NASD is requesting