SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of April 12, 1990 the following 18 issues joined NASDAQ/NMS bringing the total number of issues to 2,670:
Symbol
You must be a licensed or otherwise qualified medical professional whose credentials are appropriate to diagnose and evaluate the participant's disability. You are asked to make recommendations that are reasonable and appropriate for the participant's disability in taking the Continuing Education (CE) Regulatory Element program. Your recommended accommodations should not fundamentally
INFORMATIONAL
Corporate Debt Securities Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination
Operations
Rule 6200 Series
Transaction Reporting
Executive Summary
Dear FINRA Regulators,
I am a small investor who took an interest in ETF investments back in 2008, when a severe drop in the market had affected a great many people. At that time I reasoned that having the ability to engage the market in both directions, UP or DOWN, would be a critical component of my investment strategy. Since then I have employed both conservative and less risk-adverse
New Customer Support Hotline Number
Those member firms that are enjoying the benefits of the National Association of Securities Dealers, Inc. (NASD® Member Compliance Support System, Training Analysis and Planning Tool, Version 2.0 (MCSS), will soon benefit from enhanced customer service.
Please note that, as of November 3, 1997, technical questions regarding the MCSS application will be
SummaryThis Notice reminds firms of the changes to FINRA’s Continuing Education (CE) Firm Element requirement, specifically:extending the requirement to all registered persons;recognizing other required training toward satisfying an individual’s annual Firm Element obligation; andrevising the minimum Firm Element training criteria.FINRA and the Securities Industry/Regulatory Council on Continuing
FINRA Announces Modifications to the TRACE System Relating to Certain Securities with Equity CUSIPs and Reminds Firms of Their Reporting Obligations Regarding Equity-Linked Notes and Convertible Debt
There are two types of 529 plans—prepaid tuition plans and savings plans. Prepaid plans offer protection against rising tuition costs. Savings plans allow earnings to grow tax-deferred, and withdrawals are tax-free when used for qualified education expenses. Nearly every state offers at least one of these types of plans.
TO: All NASD Members and Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
The passage of the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA" or the "Act") has brought about changes in the tax law which will have an impact on the subject matter of the qualification examinations administered by the NASD. The chart at the end of this notice lists the
The Crypto Asset Developments 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.
