SEC Approves Amendments to Uniform Branch Office Registration Form (Form BR)
PLEASE NOTE: 144A Data is included within the definition of “Systems” in Vendor Agreement v.7.1
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") regarding the release of disciplinary information to the public.
I would like to point out two proposals that I absolutely think must be accepted. The others are still very good to increase accountability and reestablish some semblance of trust. "Synthetic Short Positions: In addition, FINRA is considering requiring firms to reflect synthetic short positions in short interest reports. For example, enhanced short interest reporting could include synthetic
Proposed Rule Change Relating to Test Results Information on the Content Outlines of FINRA Qualification Examinations
GUIDANCE
Sanction Guidelines
Effective Date: March 15, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Registered Representatives
NASD Sanction Guidelines
Institutional Sales Material
and Correspondence
Telemarketing
Research Analysts and
Research Reports
Executive Summary
This Notice advises NASD members of modifications to the
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change relating to members’ filing requirements under FINRA Rule 6432 (Compliance with the Information Requirements of SEA Rule 15c2-11).
FINRA
FINRA publishes a weekly newsletter (the weekly update) containing its rule proposals and notices of rule approvals with effective dates. FINRA provides an email subscription service for the newsletter as well as other communications. FINRA also maintains a catalog of social media and RSS feeds.
FINRA CAT LLC
FINRA CAT LLC provides an RSS feed of its website updates
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INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education
