Last modified: March 17, 2021
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Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Senate Special Committee on Aging
Last Voting Date: December 31, 1993
SUGGESTED ROUTING
Senior ManagementAdvertisingCorporate FinanceGovernment SecuritiesLegal & ComplianceMutual Fund
Executive Summary
The NASD invites members to vote on an amendment to Article III, Section 35(c) of the Rules of Fair Practice that would require a member using mutual fund rankings in advertisements or sales literature to
FINRA is examining firms’ offering of, and services provided to, Special Purpose Acquisition Companies (“SPACs”) and their affiliates (e.g., sponsors, principal stockholders, board members, and related parties). Unless otherwise noted, the relevant period for each request is July 1, 2018, through September 30, 2021 (the “Relevant Period”). In addition, if your response varies over the Relevant Period, please explain the differences in your response.
TO: All NASD Members and NASDAQ Subscribers
On October 5, 1983, the Securities and Exchange Commission adopted a rule change which will require all foreign issuers seeking inclusion in NASDAQ to be registered pursuant to Section 12(g) of the Securities Exchange Act of 1934. This registration requires foreign issuers to file periodic reports with the Commission similar to those filed by domestic
REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
SEC Approval and Effective Date for New Consolidated FINRA Rules
SummaryFINRA has adopted amendments to conform its rules to the Securities and Exchange Commission’s (SEC) amendments to Rule 15c6-1 and adoption of Rule 15c6-2 under the Securities Exchange Act of 1934 to shorten the standard settlement cycle for most broker-dealer transactions from two business days after the trade date (T+2) to one business day after the trade date (T+1). The amendments revise
Proposed Consolidated FINRA Rules Governing Suitability and Know-Your-Customer Obligations
