Certain activities of unregistered persons would not be permissible under <i>Notice to Members 88-50</i>.<br/>
<p>A sales incentive program can combine non-conforming criteria based on sales prior to January 1, 1999 with conforming criteria based on sales subsequent to January 1, 1999 for incentives to be provided prior to June 30, 2000.<br />
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Broker/dealer should seek SEC interpretative advice regarding "override" payments to insurance company for securities transactions executed by registered representatives who are associated with both the broker/dealer and the insurance company.
<p>Staff interpretation on the use of electronic signatures under NASD Rules 3110(c)(1)(C) and 3010(d).<br/></p>
SummaryFINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).Questions concerning this Notice should be directed to your firm’s Risk Monitoring Analyst.BackgroundThe following is guidance for member firms affected by the recent failures of SVB and Signature.For Members with Deposits at SVB and
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
Use this checklist to safeguard your sensitive information and help keep identity thieves at bay.
