Submit to FINRA a signed/notarized hard copy CRD printout of Form BD. Make sure the firm’s Financial and Operations Principal (FINOP) is listed on Schedule A of Form BD.Submit Form BR requesting registration of at least one branch office location. Learn more about branches on the Form BR page.Request principal registration for at least two qualified individuals and a Financial and
Financial Industry Regulatory Authority, Inc. ("FINRA") (f/k/a National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to make technical amendments to the Uniform Application for Securities Industry Registration or Transfer ("Form U4"), the
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IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS OCTOBER 3, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed new Rule of Fair Practice, which would require members to maintain a record of their total "short" positions in NASDAQ securities in all customer and proprietary firm accounts and report this information,
Executive Summary
The annual meeting of FINRA firms will take place on or about Monday, August 19, 2019, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 19, 2019.
The purpose of this
Companies that use Fortinet’s FortiManager product could be exposed to a remote, unauthenticated attacker executing arbitrary code or commands due to a critical product vulnerability (CVE-2024-47575), according to two recent alerts from the Cybersecurity & Infrastructure Security Agency (CISA).
Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
Gerri Walsh is Senior Vice President of Investor Education at the Financial Industry Regulatory Authority (FINRA). In this capacity, she is responsible for the development and operations of FINRA’s investor education program. She is also President of the FINRA Investor Education Foundation, where she manages the Foundation’s strategic initiatives to educate and protect investors and to benchmark
As the head of FINRA’s National Examination Program, Michael Solomon oversees a team of approximately 750 examiners and managers who complete more than 1,000 sales practice and financial exams annually. He also leads the Membership Application Program and the Statutory Disqualification Program.Mr. Solomon is responsible for overseeing all aspects of the Examinations program, including strategic
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT IS JULY 10, 1985
The National Association of Securities Dealers, Inc. is soliciting comments from members and other interested persons on a proposed amendment to Article III, Section 28 of the NASD's Rules of Fair Practice ("Section 28"), 1/ which would impose certain requirements on associated
