INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on January 6, 2004, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members
Summary
The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
May 9, 2022 Jennifer Piorko Mitchell, JD, MBA Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006 Re: FINRA Regulatory Notice 22-08 Dear Ms. Mitchell: Thank you for giving the public an opportunity to comment on the Regulatory Notice 22-08. I am a professor of accounting at the Johns Hopkins Carey Business School. I oppose the rules proposed in Notice 22-08. These rules
TO: All NASD Members and Interested Persons
ATTENTION: Training Directors and Registration Personnel
Effective February 1, 1984, the NASD will implement changes to the Direct Participation Programs Principal Examination (Series 39). These revisions were made by the Association under the overall direction of the Qualifications Committee of the Board. At the inception of each examination program,
The Suitability section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Executive Summary
Due to the recent tragic events resulting from Hurricane Katrina, NASD is aware that members with offices in the affected areas are concerned with a number of regulatory and compliance issues. In this regard, NASD is providing guidance on these issue, including guidance on emergency office relocations, continuing education requirements for registered personnel, registered
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FINRA may grant waivers, in exceptional cases, or exemptions for
GUIDANCE
Business Expansions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Business Expansions
IM-1011-1
Material Change in Business
Operations
Rule 1017
Safe Harbor
Executive Summary
On August 7, 2006, the Securities and Exchange Commission
(SEC) approved amendments to Interpretative Material 1011-1
(Safe Harbor for Business Expansions) (IM
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
Remarks by Richard Ketchum From the NACUBO 2014 Endowment and Debt Management Forum
