Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 14, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the definitions of "branch office" and "office of supervisory jurisdiction." Under the proposed amendments, any office at which certain specified functions take place would be defined as an office of supervisory
FINRA Rule 4111 (Restricted Firm Obligations) addresses risks from broker-dealers with a significant history of misconduct, including firms with a high concentration of individuals with a significant history of misconduct. The rule allows FINRA to impose new obligations on broker-dealers with significantly higher levels of risk-related disclosures than other similarly sized peers, based on
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Executive Summary
On February 27, 2001, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2520 relating to margin requirements for day traders (the "amendments").1 The amendments become effective on September 28, 2001 and are substantially similar to amendments by the New York Stock Exchange (NYSE) to its
SUGGESTED ROUTING
Senior Management
Government Securities
Legal & Compliance
Operations
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments to the financial responsibility requirements established under the Government Securities Act of 1986. The amendments raise the minimum capital requirements for all government securities broker/
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved amendments to Appendix F under Article III, Section 34 of the NASD Rules of Fair Practice regarding members'
