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9524. National Adjudicatory Council Consideration
(a) Hearing Panel Consideration (1) Appointment of Hearing Panel When the disqualified member, sponsoring firm, or applicant requests a hearing, the National Adjudicatory Council or the Review Subcommittee shall appoint a Hearing Panel composed of two or more members, who shall be current or former members of the National Adjudicatory Council or the Statutory Disqualification Committee or former
Introducing FINRA's Complex Investigations and Intelligence team and Cyber and Analytics Unit
The new Complex Investigations and Intelligence (CII) team and Cyber and Analytics Unit (CAU) are driving a shift in terms of how Member Supervision’s National Cause and Financial Crimes Detection Program comes at its work and leverages intelligence and analytics to drive decision making and operations. On this episode, we hear how these changes will help FINRA better deliver on its mission of investor protection, market integrity.
Regulatory Notice 07-48
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
Notice to Members 07-27
REQUEST FOR COMMENT SUGGESTED ROUTING KEY TOPICS Corporate FinancingExecutive RepresentativesLegal & ComplianceSenior ManagementOperations AffiliatesControl EntityInstitutional AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D Member Private Offerings Executive Summary NASD is issuing this Notice to Members to solicit comments from
Section II: Metaverse Use Cases in the Financial Services Industry
A segment of financial institutions, including broker-dealers, are actively experimenting with incorporating the metaverse and its immersive technologies.40 Metaverse technologies can include VR and AR, but these are not the only portals to the metaverse. Users can access virtual worlds through laptops, gaming consoles and phones.41Some firms indicated that they are examining how to leverage
Reminder - Transparency Services Initiatives
Earlier this year, FINRA introduced its Transparency Services Infrastructure Initiatives project and created a web page detailing this effort.   Items highlighted on this web page include an infrastructure upgrade to the existing TRACE Trade Reporting system web application (TRAQS), a new web application for Issue Management, and enhanced Reference Data tools including firm
Notice to Members 06-34
ACTION REQUIRED NASD Rule 3070 System Requirements SUGGESTED ROUTING KEY TOPICS Chief Compliance Officer Legal and Compliance Operations Senior Management NASD Rule 3070 System Requirements Executive Summary NASD Rule 3070(c) requires members to report to
Improving Examination Results - September 2005
September 2005 In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each
Testimony Before the United States Senate Committee on Government Affairs
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Testimony of President Markets, Services and Information Doug Shulman Before Committee on Banking, Housing, and Urban Affairs
Mr. Chairman and Members of the Committee: NASD would like to thank the committee for the invitation to submit this written statement for the record.