At the end of this tutorial, you should be able to set up a generic JS project using Angular and Grunt as a task runner. The project should be able to unit test, generate test coverage report, and minify the source codes with minimal configuration. This guide can help developers who are unfamiliar with JS frameworks and tools to start learning.
OATS is in the process of upgrading the IFT/FTP servers. Below is important information for IFT and FTP users regarding the changes:
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish February 4, 2008, as the effective date of the amendments to NASD Rules 6951, 6952, and 6955 that the Commission approved on October 10, 2006. The amendments expand the Order Audit Trail System ("OATS") reporting requirements to over-the-counter (
The Liquidity Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
As a reminder, FINRA will be retiring the current FINRA New Issue Form and will be replacing it with an updated submission platform beginning Monday, September 28, 2020. The new platform will be available with the same log in credentials used to access the FINRA New Issue Form today.
FINRA has now included a training video to assist clients in the transition to the new platform.
To
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Summary
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons, particularly women and underrepresented minorities, whose personal circumstances take them away from the industry for a time. The changes to Rules 1210 and 1240: (1) provide eligible individuals who terminate any
Change for Scheduling Exam and CE Sessions
Many consumers have shifted their banking and investment transactions to the time-saving apps on their phones. But along with convenience, a reliance on mobile devices has attracted scammers looking to steal information and assets. A growing type of fraud exploiting mobile phone usage is known as SIM swapping.
