REQUEST FOR COMMENT
Principal Pre-Use Approval of Member
Correspondence
Comment Period Expires May 27, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rules 2211 and 3010
Executive Summary
NASD
As part of the registration / licensing process, FINRA administers examinations on which you must demonstrate proficiency in the areas in which you will work, prior to engaging in the activity
Summary
In August 2019, FINRA launched a retrospective review that, among other things, sought stakeholders’ input on the effectiveness of Rule 3240 (Borrowing from or Lending to Customers).1 Based on feedback received during the review, FINRA is proposing amendments to Rule 3240 to:
emphasize that the rule generally prohibits registered persons from entering into borrowing or
FINRA has assembled a list of resources that firms may use to manage their cybersecurity risk. These resources include: news and analysis; effective practices and guidance; and free diagnostic tools...
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
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KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 To Whom It May Concern, Hi there. I’m Dave Nadig, Financial Futurist for ETF Trends and ETF Database. For most of the last 25 years, my job has been to help asset managers understand investors and help investors understand the products that asset managers build. Since 1993, I’ve been in
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceSyndicate
Executive Summary
The NASD and five other securities industry self-regulatory organizations (SROs) have agreed to develop a single continuing education program for all securities industry registered representatives and principals. Furthermore, the NASD has agreed to remain flexible over the question of whether an
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1992-93 NASD® broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to assist members in reviewing, reconciling, and responding to the Final Adjusted Invoice packages that were mailed to all
