IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Accounting
Operations
Retail
Mutual Funds
Mutual Fund Breakpoints
Customer Refunds
Net Capital Compliance
Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had
GUIDANCE
Safeguarding Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
New Technology
Privacy
Protection of Customer Information
Executive Summary
NASD members are required to maintain policies and procedures that address
FINRA Addresses Frequently Asked Questions About TRACE Reporting Issues
Notice of Annual Meeting of FINRA Firms and Proxy
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Registered Representatives
Research
Executive Summary
On June 22, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2210 (Communications with the Public) that permit the approval of research reports by a
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 11, 1997, the National Association of Securities Dealers, Inc. (NASD®) Board of Governors approved the solicitation of comment on a proposed rule that would amend Rule 6530 to limit
Following the consolidation of NASD and NYSE Regulation into FINRA, FINRA established a process to develop a new consolidated rulebook, which is outlined in this Notice. The new FINRA Rules will apply to all FINRA members and will be proposed in phases to the SEC. As rules approved by the SEC become effective, they will replace the existing NASD Rules and incorporated New York Stock Exchange (
FINRA Collection of Short Interest Data for BATS Exchange-Listed Securities
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
The Membership Department would like to remind members of the importance of keeping the names of executive representatives, as well as mailing addresses for branch offices, up to date. Making certain that the Central Registration Depository (CRD) is kept informed of changes in address and contact people ensures
FINRA firms must have and enforce policies and procedures governing the withdrawal or transmittal of funds or other
assets from customer accounts.
