GUIDANCE
Annual Compliance and Supervision Legal & Compliance Certification
SUGGESTED ROUTING
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Legal & ComplianceOperationsRegistered RepresentativesSenior ManagementTraining
IM-3013 (Annual Compliance and Supervision Certification)
Executive Summary
The Securities and Exchange Commission (SEC) has approved
As of June 30, 2020, the U.S. Securities and Exchange Commission’s Regulation Best Interest—or Reg BI—is officially in effect. What does a post implementation-date world look like? And how is FINRA working to ensure a consistent approach to examining around and enforcing the new regulation? Tune in to learn more.
Published January 5, 2024.Updated July 10, 2024.*On May 22, 2024,1 the requirements relating to Covered Agency Transactions, as amended pursuant to SR-FINRA-2021-010,2 went into effect. “Covered Agency Transactions,” as defined more fully under amended Rule 4210(e)(2)(H)(i)b., are (1) To Be Announced (TBA) transactions (inclusive of adjustable rate mortgage transactions) with settlement
March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Information and Data Reporting and Filing Requirements
IMPORTANT
TO: All NASD Members and Other Interested Persons
In November 1984, the SEC approved, by a split vote, the NASD's longstanding petition that the Commission amend its rule governing the qualifications for companies seeking inclusion in the NASDAQ National Market System.
This landmark decision which, in essence, substitutes qualitative standards for market activity criteria, made an
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-3 Records to be made by certain exchange members, brokers and dealers.
This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a national
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