FINRA Requests Comment on Proposed Amendments to OTC Trade Reporting Requirements for Equity Securities
Good afternoon, Chairman Reed, Ranking Member Allard and distinguished Members of the Subcommittee. NASD is grateful for the invitation to testify regarding the regulatory consolidation of NASD and NYSE Member Regulation.
GUIDANCE
Qualification Examinations
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Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
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
Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings (IPOs)
Comment Period Expires: January 9, 2004
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Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
IPO Allocations
IPO Pricing
Rule 2710
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
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Central Registration / Depository System
IM-8310-2
Investment Adviser / Representatives
U-4
U-5
Executive Summary
The Securities and Exchange
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Summary
FINRA reminds member firms about requirements when using predispute arbitration agreements for customer accounts. Where member firms use mandatory arbitration clauses in their customer agreements, FINRA rules establish minimum disclosure requirements regarding the use of such clauses and prohibit predispute arbitration agreements from including conditions that, among other things, limit
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
