In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
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Life happens. Sometimes in the most jarring, unexpected ways that can impact your work life and your livelihood. And when it does, you want to work for a company with empathetic leadership, that has genuine concern for employees, and a culture of caring and adaptability.
Hi, I’m Sarah. In March 2020, I experienced firsthand, and at the highest level, that FINRA is that kind
GUIDANCESales Practice ObligationsSUGGESTED ROUTINGKEY TOPICSAdvertising/Investment CompaniesDebt SecuritiesExecutive RepresentativesLegal & ComplianceMutual FundsRegistered RepresentativesSenior ManagementTrainingDebt SecuritiesMunicipal SecuritiesMutual FundsSales Practice ObligationsExecutive SummaryAs the number of retail customers investing in bonds and bond funds grows, NASD is
(a) Time to File Notice of Appeal
A Respondent or the Department of Enforcement may file a written notice of appeal within 25 days after service of a decision issued pursuant to Rule 9268 or Rule 9269.
(b) Effect
An appeal to the National Adjudicatory Council from a decision issued pursuant to Rule 9268 or Rule 9269 shall operate as a stay of that decision until the National Adjudicatory
(a) The assessment of a firm, which is not a member throughout FINRA's full calendar year from January 1 to December 31, shall be based upon the number of quarter years of membership. The proration for a new member shall include the quarter year in which the member is admitted to membership. The proration for a member which resigns shall include the quarter year in which the member's
Jacqueline Perrell is Senior Vice President and Chief of Staff in Market Regulation and Transparency Services. Ms. Perrell is responsible for overseeing a wide variety of core functions within the department, including strategic initiatives, business operations, training and development, and regulatory compliance functions. Previously, Ms. Perrell was Vice President in Member Supervision and the
Leave our money alone. Would this effect your millions you people get while sitting in office. Hands OFF !!
Summary
Effective February 27, 2023, the Section 31 fee rate applicable to specified securities transactions on the exchanges and in the over-the-counter markets will decrease from its current rate of $22.90 per million dollars in transactions to a new rate of $8.00 per million dollars in transactions.
Finance-related questions should be directed to Amanda Rath, Manager, Finance, at (240) 386-
Compliance Outreach Program for Municipal Advisors
