A new question has been added to the Uniform Application for Securities Industry Registration or Transfer (Form U4) to identify Residential Supervisory Locations (RSLs) for purposes of complying with FINRA Rule 3110.19(d), as amended (RSL Question). Firms that have identified a location as a non-registered private residence are required to answer the RSL Question as either “Yes” or “No” by December 26, 2024. The previously announced October 15, 2024 date in Regulatory Notice 24-02 has been replaced by the December 26, 2024 deadline. Further information on Form U4’s new RSL Question and the related deadline is available in File No. SR-FINRA-2024-015 and in the Frequently Asked Questions about Residential Supervisory Locations (RSLs).
This request for exemptive relief is granted based on the Firm's representation that the Contributions were made prior to the individual's employment with the Firm, and that the individual was never engaged in municipal securities business, as defined by MSRB Rule G-37 ("Rule"), and the individual has never solicited municipal securities business from the City or City agencies of whom the Contribution recipients are issuer officials. The Firm agreed to institute certain information barriers, the individual will, for a period of time, be prohibited from soliciting municipal securities business as defined by the Rule, and the individual may not receive any compensation derived directly or indirectly from municipal securities business from City or certain City agencies for a period of time.
NASD Rule 2830 - Investment Company Securities</p>Offices of sub-adviser holding training and education meeting is permissible location under Rule 2830(l).
Personnel Background Investigations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
Article III, Sections 3 and 4 of the FINRA By-Laws
NASD Rule 3010(e)
NTM 97-19
NTM 05-39
NYSE Interpretation Handbook Rule 345.11/01
NYSE Rule 345.11
NYSE Rule 346b
Suggested Routing
Compliance
Executive Representatives
Human Resources
Legal
Operations
Principals
Registered
Finra regulatory rules pertaining to leveraged and inverse funds should not be changed. The choice and ability to own and invest in these instruments should not be limited to high net worth individuals. Investing in the leveraged funds is safer than using margin. Finra's current rules should not be changed.
The reporting of shorts and especially synthetic shorts have been overlooked for a very long time, because of this I absolutely believe this will benefit every single investor. These rules should be implemented and require daily reporting to the public by the firms FINRA regulates. I sincerely hope that FINRA implements and enforces these rules as the confidence in the state of todays stock
New Electronic System for Submitting and Processing Company-Related Actions for Non-Exchange Listed Securities Under Rule 6490
Proposed Rule Change to Amend the Definition of "Associated Person," Streamline a Case Administration Procedure, and Clarify that Customers Could be Assessed Hearing Fees Based on Their Own Claims for Relief in Connection with an Industry Claim
February 13, 2007
Dear NASD Member:
Last year I sent a letter to members that highlighted new and existing regulations that were of particular significance to NASD’s examination program. The letter was designed to offer you guidance by identifying areas of potential examination focus, allowing you to enhance related supervisory and compliance procedures and systems at your firm. Because the
Regulation needs to be imposed on companies and corporations NOT individuals. The accredited investor rules are not only insulting to lower income people but prohibit them from obtaining wealth. These rules favor the rich and punish the poor. They are unfair and geared toward corporate America verses American citizens!
