Chairman Dodd, Ranking Member Shelby and Members of the Committee: I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
U. S. BOSTON CAPITAL CORPORATIONLINCOLN NORTH, LINCOLN, MA 01773Mailing Address: 55 OLD BEDFORD ROAD, SUITE 202, LINCOLN, MA 01773U.S. BANCORP ADVISORS, LLC800 N BRAND BLVD., 16TH FLOOR, GLENDALE, CA 91203U.S. BANCORP INVESTMENTS, INC.60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107Mailing Address: 60 LIVINGSTON AVENUE, EP-MN-N2WC, SAINT PAUL, MN 55107U.S. BROKERAGE, INC.17 E KOSSUTH ST,
The SDP was designed to provide members of the uniformed services in designated combat zones an opportunity to build their financial savings.
The NASD would like to thank the Subcommittee for this opportunity to testify on micro-cap fraud in the U.S. markets, the nature of the problem and our efforts to address it.
FINRA member firms that use Microsoft SharePoint should be aware of a critical vulnerability that affects certain versions of the web-based platform. This Cybersecurity Alert includes a link to a Microsoft Advisory describing the vulnerability as well as a recommendation to protect your firm. In addition, FINRA recommends that firms review this information with appropriate information technology and information security personnel to alert them to an ongoing threat.
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $75.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $75.00 branch office system processing fee (where such fees have been assessed
Listen to FINRA CEO Robert Cook discuss proposed new Rule 4111 at the 2019 FINRA Annual Conference.
Summary
As part of FINRA’s ongoing initiatives to protect investors from misconduct, FINRA is requesting comment on proposed new Rule 4111 (Restricted Firm Obligations) that would impose tailored obligations, including possible financial requirements, on designated member firms that cross
GUIDANCE
Qualification Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Limited Principal—Direct Participation
Programs (Series 39)
Limited Principal—Financial and
Operations (Series 27)
Limited Principal—Introducing
Broker-Dealer Financial and
Operations (Series 28)
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting
