SUGGESTED ROUTINGSenior ManagementInternal AuditLegal & ComplianceRegistration Executive SummaryNational Association of Securities Dealers, Inc., (NASD®) rules require that members supervise each of their associated persons, regardless of their location, compensation arrangement, or registration status. This Notice addresses firm obligations to supervise associated persons
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
Firms and their associated persons should be aware of and take appropriate measures to address the increased risks and challenges presented during the COVID-19 pandemic. In addition
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially
GUIDANCE
NAC Nominations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members
of the nomination procedures to fill two upcoming vacancies on the
National Adjudicatory Council (NAC). The three-year terms of the
NAC regional Industry members from
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Effective December 19, 2007, locations that solely conduct final approval of research reports are exempt from the definition of Office of Supervisory Jurisdiction.
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Frequently asked questions about private placements.
This Guide summarizes some of the rules in the Rule 9100 and Rule 9200 Series of FINRA’s Code of Procedure (Code). FINRA’s Code, which the Securities and Exchange Commission has approved, contains the rules that govern the disciplinary process. Any person named as a Respondent in a FINRA disciplinary proceeding is entitled to request a hearing. The Code ensures that hearings are conducted in a
