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The Latest Research: Why Do Targets Engage with Scams?
Why do we engage with scammers? What makes one person more likely to engage than the next? Of those that engage, what makes someone more likely to lose money? On this episode, we dig into the research on these important questions with three academics in the field.
Notice to Members 01-84
INFORMATIONAL INSITE Reporting Requirements Effective Date: December 10, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management INSITE Reporting Requirements Executive Summary On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
Notice To Members 91-31
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceOperationsTrading*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD Board of Governors has approved two additional proposals to curb Small Order Execution System (SOES) abuse — expanding the definition of "day trading" and permitting a short period between
Notice To Members 91-40
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceMutual FundOperations*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission has approved an amendment to Article III, Section 26 of the NASD Rules of Fair Practice that requires members selling investment company shares to disclose the existence
Notice to Members 00-50
INFORMATIONAL Restrictions On Unregistered Persons SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Operations Registered Representatives Registration Senior Management Training Cold Calling Telemarketing Unregistered Persons Executive Summary In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule
Notice to Members 99-91
INFORMATIONAL Imposition Of Censures SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Disciplinary Actions NASD Sanction Guidelines The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary In July 1999
Notice To Members 90-28
SUGGESTED ROUTING* Senior ManagementInternal AuditLegal & ComplianceOperationsSystemsTrading *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY In response to requests from members concerned about rising costs for comparison of negotiated trades, NASD Market Services, Inc. (MSI) is reducing the previously approved rates for the
Market Access Controls
The Market Access Controls section of the 2017 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.
Notice to Members 03-69
ACTION REQUIRED Electronic Communications Networks Changes Effective: November 10, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting Electronic Communication Networks Executive Summary NASD is issuing this Notice to replace and
Notice to Members 03-55
See Nasdaq Head Trader Alert 2003-140 at: www.nasdaqtrader.com/dynamic/newsindex/headtraderalerts_2003.stm ACTION REQUIRED Electronic Communications Networks Changes Effective: October 6, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representative Legal & Compliance Operations Senior Management Transaction Reporting