TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also appointed several individuals to fill additional vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently
Revised SEC No-Action Guidance Expanding the Definition of “Ready Market” for Certain Foreign Equity Securities
All Enforcement new hires participate in a training and mentoring program, which empowers them to quickly gain expertise by working alongside high-performing lawyers and investigators in a collaborative and innovative environment. We encourage hands-on learning to ensure our new colleagues are well-positioned to excel in their new role.
Training
New hires take part in a comprehensive, role-
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At FINRA, our mission is to protect investors and promote market integrity. Our employees are passionate about this commitment, and it's one of the strongest ties that connect our current and former
eFOCUS System Updates Applicable to Joint Broker-Dealers/Futures Commission Merchants
Reporting Relief Relating to Customer and PAIB Reserve Formula Computations and Required Deposits Around the December 2012 Month-End Holidays
New Alert-Reporting Criterion for Leverage in FOCUS Reports
Guidance on FAS 167 for FOCUS Reporting
Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and
