WASHINGTON—FINRA announced today the launch of FINRA Forward, a series of initiatives to improve its effectiveness and efficiency in pursuing its mission. The Three FINRA Forward initiatives:Modernizing FINRA Rules. FINRA is conducting a broad review of its rules to modernize requirements, facilitate innovation and eliminate unnecessary burdens. Empowering Member Firm
The Digital Communication section of the 2019 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.
Eileen Famiglietti, Vice President, Enterprise Risk Management (ERM), leads the ERM program, which provides transparency around the enterprise-level risks FINRA faces in the execution of its mission, strategic goals and key business objectives. The program helps inform FINRA's strategic planning, budgeting and resource allocation processes, as well as its decision making. She oversees the
National Association of Securities Dealers, Inc.
Notice Of Meeting And Proxy
The Annual Meeting of members of the National Association of Securities Dealers, Inc. ( NASD®) will be held on December 21, 1998, at 9:30 a.m., at the Carlton Hotel, 16th & K Sts. N.W., Washington, D. C.
The items of business to be considered at the Annual Meeting are:
1.
Election of persons to serve on
In the securities world today, there is little daylight between money laundering and fraud. On this episode, we learn how FINRA’s Special Investigations Unit works to detect and investigate cases of illicit finance and market abuse, as well as how they proactively identify and mitigate threats.
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
1. What is the single most neglected area in the field of investor education? How might this area be developed? Bar none, the most neglected area is financial planning -- investing being just one of five primary focus areas. Investment, tax, estate, insurance and retirement planning all need to be discussed and aligned with one’s life/financial goals. It can be developed by changing our mindset/
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 24, 1992, the following 58 issues joined the Nasdaq National Market, bringing the total number of issues to 2,725:
Symbol
Company
Entry Date
SOES Execution Level
AUGI
American United Global, Inc.
1/28/92
1000
CALL
Fleet Call
There are two types of 529 plans—prepaid tuition plans and savings plans. Prepaid plans offer protection against rising tuition costs. Savings plans allow earnings to grow tax-deferred, and withdrawals are tax-free when used for qualified education expenses. Nearly every state offers at least one of these types of plans.
Financial social media influencers or finfluencers are growing in popularity as a cheap way to reach a new generation of investors. But using this newer form of advertising comes with risks. On this episode, we learn more about the regulatory requirements around the use of social media influencers and hear some best practices for firms looking to make use of “finfluencer” programs.
