INFORMATIONAL
Variable Contracts
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Insurance
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Variable Contracts
Suitability
Supervision
Variable Contracts
Executive Summary
Due to the growth in sales and the popularity of variable life insurance products, NASD
Summary
In April 2018, FINRA launched a retrospective review of the annual compliance meeting (ACM) requirement in Rule 3110(a)(7) and corresponding Supplementary Material .04 (SM .04), to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant and appropriately designed to achieve
The Financial Industry Regulatory Authority (FINRA) appreciates the opportunity to submit this statement for the record of the Committee’s hearing to examine fraud among senior investors.
Comment Period Expires: October 31, 1997
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM)
NTM 06-72 supersedes NTM 06-60GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
SIPC (Securities Investor
Protection Corporation)
Executive
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
18a-3 Non-cleared security-based swap margin requirements for security-based swap dealers and major security-based swap participants for which there is not a prudential regulator.
18a-3(a) Every security-based swap dealer and major security-based swap participant for
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
IMPORTANT
TO: All NASD Members and Other Interested Persons
Over the past several months, some questions have arisen relating to members' procedures when executing transactions for their own accounts while in possession of unexecuted customer limit orders for over-the-counter securities. In May 1984, the NASD Board of Governors appointed an Ad Hoc Committee on Limit Orders to review members
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
INFORMATIONAL
Bulk Transfer of Customer Accounts
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Accounts
Rule 2110
Executive Summary
In October 2000, the staff of NASD issued an interpretive letter concerning the use of "negative response letters" to transfer certain customer accounts to a new broker/dealer.
