The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and Financial Industry Regulatory Authority (FINRA) today announced that registration is open for a virtual Compliance Outreach Program for municipal market professionals. The free webcast is open to the public and will take place on Thursday, December 7, 2023, from 10:30 a.m. to 4:30 p.m. ET.
NASD has filed with the SEC a proposed rule change to (1) amend NASD Rule 3010(g)(2) to revise the definition of the term "branch office"; and (2) adopt IM-3010-1 to provide guidance on factors to be considered by a member firm in conducting internal inspections of offices. The purpose of the proposed rule change is to facilitate the creation of a branch office registration system
(a) ApplicabilityThe hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other person who is served with a notice issued under the Rule 9550 Series and who timely requests a hearing or who is served with a petition instituting an expedited proceeding under Rule 9556(h). For purposes of this Rule, such members
You might know if the stock market is going up or down, but do you know what sectors are driving returns? The use of sectors is one of the most common ways to characterize markets, and the most used system is the Global Industry Classification System (GICS).
For Your Information
National Association of Securities Dealers, Inc.
October 1989
Three NASD District Offices to Hold Major Conferences This Month
Three NASD offices — Districts 5, 8, and 13 - will sponsor major conferences this month.
District 5
The District 5 annual membership meeting and conference, co-sponsored with Tulane Law School, will be Friday, October 6, at the Windsor Court
ACTION REQUESTED
Alternative Display Facility
SEC Comment Period Expires: January 21, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Alternative Display Facility
Executive Summary
On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Systems
Trading
Below are the summary conclusions and recommendations that the Rudman Committee released on Tuesday, September 19, 1995.
Overall Conclusions
Based on its Review, the Select Committee concludes that the NASD® has discharged its self-regulatory responsibilities, not of course with perfection or
The failure of a firm might understandably cause some anxiety for its customers. However, should your firm cease operations, you shouldn’t panic: In virtually all cases, customer assets are safe and typically are transferred in an orderly fashion to another registered brokerage firm.
With the holiday season upon us and 2023 coming to an end, FINRA’s Cyber and Analytics Unit (CAU) would like to remind member firms to prepare for cyber threats and attacks that may occur around the holidays. Member firms and their vendors should consider reviewing and validating their Written Supervisory Procedures (WSPs), continuing to educate their employees with respect to cybersecurity and effective practices, and testing incident response plans (IRPs) to prepare for, prevent, or recover from an incident.
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Regulation;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange Commission;
(e) "
