As part of our mission to protect investors and safeguard market integrity, FINRA monitors and assesses FINRA-registered firms and their registered representatives through our Examination and Risk Monitoring programs.How We Do our WorkOur Exam and Risk Monitoring programs are a critical component of FINRA’s regulatory operations and one of the primary means by which we oversee the activities of
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Accounting
Operations
Retail
Mutual Funds
Mutual Fund Breakpoints
Customer Refunds
Net Capital Compliance
Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 7, 1985, 82 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,934. These 82 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
Nominees for FINRA Board of Governors
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
At the present time, many certificates of deposit held by individuals are expiring. There has been an intensive marketing effort by some mutual funds and many NASD members to persuade such individuals to invest in bond mutual
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
I currently invest in BITO to diversify my portfolio risk so that I'm not too concentrated in any one asset class. Taking away this ability would only hurt me and countless others.
Investing should be a level playing field for everybody. Requiring certain account balance thresholds is completely unfair.
I oppose regulation #22-08. It will be a travisty to take away my ability to manage my investments with the instruments this regulation intends to limit.
Those very instruments have protected my assets time and time again. With current market conditions, they are needed now more than ever!
I ask that FINRA not enact this regulation.
The purpose of this Election Notice is to notify FINRA large and small member firms of contested elections for a large firm seat and a small firm seat on the National Adjudicatory Council (NAC) and the distribution of ballots.
(a) General Provision
(1) Each member required to join the Securities Investor Protection Corporation shall maintain blanket fidelity bond coverage which provides against loss and has Insuring Agreements covering at least the following:
(A) Fidelity
(B) On Premises
(C) In Transit
(D) Forgery and Alteration
(E) Securities
