The FINRA Board announced two newly appointed Industry Governors, received an update on FINRA’s Enforcement Digital Transformation and continued discussions around FINRA’s long-term financial planning.
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
The Securities and Exchange Commission has recently approved revisions to several NASD qualification examinations. These changes become effective May 1, 1995. The revised examinations include the following.
Investment Company Products/Variable Contracts Representative
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD recently completed a study of secondary market trading in direct participation program (DPP) securities. As a result, this notice is being issued to emphasize the applicability and relevance of certain NASD rules
What I choose to invest in is my personal business, it is not up to politicians to control every aspect of my life; you are elected "representatives," not lords or masters. And if you want to requires tests for investing, test the financial planners and require they are held accountable for their fiduciary position in recommending certain investment products.
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
The Anti-Money Laundering (AML) Compliance Program 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.
Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.
INFORMATIONAL
Notices to Members
SUGGESTED ROUTING
KEY TOPIC
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
FINRA has provided transparency to over-the-counter equities (OTCE) trading for years through its public website.
On November 15, 2021, FINRA’s Alternative Display Facility (ADF) will begin supporting timestamps up to nanosecond granularity (HH:MM:SS.sssssssss) in accordance with amendments to FINRA’s equity trade reporting rules. Please refer to FINRA Regulatory Notice 20-41 for additional information on firms’ reporting obligations under these amendments.
ADF currently supports timestamps up to
