<p>NASD Rule 2110 and NYSE Rule 402.30—Partial Redemption Allocations and Disclosure Practices in Auction Rate Securities</p>
A Member's Responsibilities Regarding the Outsourcing of Certain Activities
Background
Another issue we are studying through the lens of FINRA360 is branch office inspections. The responsibility of firms to supervise their associated persons is a critical component of federal broker-dealer regulation. Over the last few years, and in comments we have recently received, firms have raised questions about the manner in which they must conduct internal inspections,
At FINRA, we do more than just ensure the broker-dealer industry operates fairly and honestly. One of our core values is innovation. To cultivate a mindset for pioneering innovative solutions, we constantly create opportunities for our staff to enhance their current skills, add new skills, and we equip them with the cutting-edge tools. Our goal is to empower them to shape and grow their career.
NASD Rule 2510 - Discretionary Accounts - Use of a negative response process under NASD Rule 2510(d)(2)(D) to designate an alternative money market sweep fund when existing sweep fund closes with inadequate notice.
FINRA
3 Second Street, Suite 800
Jersey City, NJ 07302
All conference rooms come equipped with videoconferencing and recording capabilities. Please advise your Case Administrator if you need any additional or specialized equipment.
Wireless Internet Access:
The Jersey City office offers wireless internet access to visitors. There is no cost to connect to the FINRA Guest Wireless Local
