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Notice to Members 99-40
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 Representatives Registration Research Syndicate Systems Trading Training Executive Summary The purpose of this Special Notice to
Notice to Members 03-37
INFORMATIONAL Registration Rules Effective Date: July 7, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Principals Registration Registered Representatives Senior Management Training Qualification Examinations General Securities Principal Sales Supervisor Module (Series 23) General Securities
Media Kit
About FINRAFINRA is a not-for-profit organization authorized by Congress that is dedicated to protecting investors and ensuring market integrity. It regulates one critical part of the securities industry—member brokerage firms doing business in the U.S.FINRA, overseen by the SEC, writes rules, examines for and enforces compliance with FINRA rules and federal securities laws, registers broker-
For Your Information - October 2002
Reminder to NASD Members - Transactions with NASD and American Stock Exchange Employees NASD members who carry brokerage accounts for NASD, NASDAQ, or American Stock Exchange employees are reminded of the need to promptly implement employees' instructions calling for duplicate statements to be provided to NASD. This requirement is set forth in NASD Rule 3090(a), which provides that "[w
Election Notice - 11/25/13
Small Firm Advisory Board Runoff Election
Regulatory Notice 13-02
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Remarks by Chairman and CEO Rick Ketchum From the Fordham University Ethics and Regulatory Conference
Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
Firm Checklist for Compromised Accounts
What should your firm do after it discovers that customers’ accounts have been compromised?
Notice to Members 05-06
GUIDANCE Options Position and Exercise Limits Effective Date: February 28, 2005 SUGGESTED ROUTING KEY TOPICS Institutional Legal & Compliance Options Senior Management Trading Training Delta Hedging Exercise Limits Hedge Exemption
Testimony on Banking, Housing, and Urban Affairs
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape