Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings they submit to FINRA must be made
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform
I see no reason why a financial advisor should need permission from a broker/dealer before owning crypto assets. This has nothing to do with their duties as advisors.Separately, allow me to say wow. How much time and energy did staffers at FINRA spend on the excessive verbiage that went into this notice and all the deliberations over proposing such a silly and unnecessary rule? You guys need to
Executive Summary
FINRA will conduct its Annual Meeting of firms on Monday, August 19, 2019, at 9:00 a.m. Eastern Time in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect individuals to fill one small firm seat and one large firm seat on the FINRA Board of Governors (FINRA Board).1
It is important that all eligible firms be represented
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 16, 1986, 26 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,709. These 26 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
I am a disabled/ Retired Law Enforcement Officer. The fact stable coin yeilds are being taken away slowly WILL result in me going bankrupt and having to move away from my children.
The policies are ruining lives
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
ACTION REQUIRED
Deficits in Introduced Accounts
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Executive Representatives
Legal & Compliance
Operations
Clearing Firms
Deficits in Introduced Accounts
Introducing Firms
Executive Summary
NASD is concerned that clearing firms and introducing firms are frequently
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-11 Notification provisions for brokers and dealers.
This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
