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Notice to Members FYI June 1998
For Your Information.
Regulatory Notice 09-33
SEC Approval and Effective Date for New Consolidated FINRA Rules
Notice to Members 06-15
GUIDANCE Exemptive Relief from the OATS Electronic Recording and Reporting Requirements; Enhancements to the OATS Web Interface SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Senior Management Systems Training OATS Rule 6958 Rule 9610(a) Executive Summary In November 2005, NASD issued Notice to Members (NTM) 05-78 announcing Securities and
Testimony Before the Finance and Hazardous Materials Subcommittee of the Commerce Committee
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
Regulatory Notice 18-26
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
Election Notice – 8/29/18
Summary The purpose of the Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees (formerly known as District Committees). The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting
Notice to Members 02-19
INFORMATIONAL Auditor Independence SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Senior Management Auditor Independence Executive Summary In November 2000, the Securities and Exchange Commission (SEC) completed a comprehensive review of outside services that auditors provide to their audit clients, and as a result, amended the
Notice to Members 98-80
SUGGESTED ROUTING Senior Management Legal & Compliance National Association of Securities Dealers, Inc. Notice Of Nominees The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about
Regulatory Notice 18-15
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
FINRA Gateway Release Notes (2020-2022)
Date Feature Description December 15, 2022 Requests and Filings Filters: Re-design in the layout Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter Mapped the Type filters under their associated “parent” Category filters Enabled the multi-select capability under each