August 2021
FINRA is conducting a review of Firm Name practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.
The requests below pertain to both self-directed accounts and accounts in which registered representatives recommended options but excludes both institutional1 and managed
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Trading
Training
Executive Summary
The Securities and Exchange Commission's (SEC) Regulation M, which regulates the market
The Direct Market Access Controls 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.
FINRA’s Financial Intelligence Unit (FIU) and Vulnerable Adults and Seniors Team (VAST) are issuing this Threat Intelligence Product (TIP), which provides an overview of FINRA’s observations regarding the vulnerability of senior investors to investment scams, the devastating consequences for the victims and the importance of education about financial scams to prevent initial victimization and re-victimization.
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on proposed
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceOperationsTraining
Executive Summary
Effective April 29, 1994, the Department of the Treasury (Treasury) issued regulations under the Government Securities Act of 1986 (GSA) to require broker/dealers to initiate buy-in procedures for mortgage-backed securities that are in a fail-to
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
SUMMARY
In response to a request by the Association, the staff of the SEC's Division of Market Regulation has recently issued its views on frequently raised interpretive questions regarding Rules 15c2-4 (the "Rule") under the Securities Exchange Act of 1934 (the "Act
