SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 23, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 5 and Article IV, Sections 3 and 4 of the Association's By-Laws and Article IV, Section 5 of the
The FINRA qualification and registration requirements are set forth in FINRA Rules 1210 through 1240.1 These rules, among other things: (1) require the registration of individuals as representatives or principals; (2) allow for the permissive registration of associated persons of firms; (3) establish a waiver program for individuals working for a financial services industry affiliate of a member
SUGGESTED ROUTING*
Senior ManagementLegal & complianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1988-89 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
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
E.1. The phrase business as such under Exchange Act Rule 17a-4(b)(4) is not defined.34 What questions, concerns or challenges, if any, does this raise with respect to ensuring compliance with the recordkeeping requirements? Are there categories of records that are especially costly or difficult to capture or retain, and which may provide no appreciable regulatory benefit? <EA1: Ambiguity
FINRA Announces Temporary Margin Maintenance, Net Capital and Reserve Formula Requirements Related to Money Market Mutual Funds
FINRA Announces the Publication of Consolidated Interpretations of SEC Rules Governing Financial Responsibility, Customer Protection and Books and Records
SummaryFINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:a description of responsibilities for the various groups;an overview of each elected vacancy to be filled in 2024; anda summary of how eligible individuals can become candidates for
NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
On July 30, 2007, NASD and the New York Stock Exchange (NYSE) consolidated their member regulation operations.
