GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing RuleUnderwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710 (Corporate FinancingRuleUnderwriting Terms and Arrangements)Schedule A to
SEC Approves Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
Guidance on Special Purpose Acquisition Companies
The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Exemptive relief is granted based on the following considerations: 1) the contribution was inadvertent, de minimis, and was returned; and (2) the contribution was made to a candidate for public office who never had the opportunity to influence the award of municipal securities business (Candidate was not an elected official, was never elected to the office for which he was a candidate, and he died during the election campaign).
Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 To Whom It May Concern, Hi there. I’m Dave Nadig, Financial Futurist for ETF Trends and ETF Database. For most of the last 25 years, my job has been to help asset managers understand investors and help investors understand the products that asset managers build. Since 1993, I’ve been in
INFORMATIONAL
Trading — Extended Hours
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Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
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Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved rules1 submitted
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Senior Management
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Registered
