Good Morning. Thank you so much for being here with us today. I hope you will find the next two days to be a productive use of your time and that you will leave with valuable information and perhaps even some new friendships.
GUIDANCE
Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Financial
Legal and Compliance
Senior Management
Annual Audits
FOCUS Reports
Schedule I
Executive Summary
Securities and Exchange Commission (SEC) Rule 17a-5 requires broker-dealers to file certain financial reports with NASD within a specified number of days
WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm
Regulations kill innovation.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Fidelity Bonds
Thank you, Bill [Press], and good morning, everyone. It's great to be here with you.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Registration
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article IV,
Some basic regulations is okay but don't kill innovation [REDACTED]
I oppose restrictions to my right to invest in crypto. Stop hindering innovation.
Breakpoint discounts are volume discounts to the front-end sales load charged to investors who purchase Class A mutual fund shares. The extent of the discount depends on the amount invested in a particular family of funds. For example, a mutual fund might charge a front-end load of 5.75 percent for share purchases of less than $50,000, but reduce the load to 4.50 percent for investments between $
