2003 - 2004 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, and Customer Complaints by their due dates. The following schedule outlines due dates for 2004. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting
2004 2005 Filing Due Dates
NASD would like to remind members of their obligation to
file the appropriate FOCUS reports, Annual Audits, Customer
Complaints, and Short Interest Reports by their due dates.
The following schedule outlines due dates for 2005. Questions
regarding the information to be filed can be directed to the
appropriate District Office. Business questions as to how to file
the
2005–2006 Filing Due Dates
NASD would like to remind members of their obligation to file
the appropriate FOCUS reports, Annual Audits, and Customer
Complaints by their due dates. The following schedule outlines
due dates for 2005. Questions regarding the information to be
filed can be directed to the appropriate District Office. Business
questions as to how to file the FOCUS report, resetting
2006—2007 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates. The following schedule outlines due dates for 2006 reports that have 2007 due dates, and for 2007 reports. Questions regarding the information to be filed can be directed to
Investors and financial services professionals alike are increasingly using social media for a variety of business purposes. Social Media may be a new medium, but FINRA's rules on communicating with the public are still applicable. The rules protect investors from false, misleading claims, exaggerated statements, and material omissions. Below we identify key areas and concepts when using
Breakpoint discounts are volume discounts to the front-end sales load charged to investors who purchase Class A mutual fund shares. The extent of the discount depends on the amount invested in a particular family of funds. For example, a mutual fund might charge a front-end load of 5.75 percent for share purchases of less than $50,000, but reduce the load to 4.50 percent for investments between $
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
Proposed Rule Change to Adopt New FINRA Rule 6732 (Exemption from Trade Reporting Obligation for Certain Transactions on an Alternative Trading System)
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
