SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 15, 1989, the Securities and Exchange Commission issued Release No. 34-27249 containing proposed
FINRA is changing the effective date for reporting equity-linked notes from August 4, 2008, to November 3, 2008.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD® Rule 2350, which specifies requirements applicable to broker/
Monday, May 12, 2025 Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street Washington, DC 20006 RE: Request for Comment on Regulatory Notice 25-05 Dear Ms. Mitchell, As an owner of a Registered Investment Advisory (RIA) firm having registered representatives at a member firm
(a)(1) Unless otherwise permitted by FINRA, a member shall not enter into an agreement for the carrying, on an omnibus or fully disclosed basis, of any customer account in which securities transactions can be effected ("customer account" or "account"), unless such agreement is with a carrying firm that is a FINRA member. An introducing firm that acts as an intermediary for
This Notice describes the protocol by which FINRA will announce the effective dates of the new FINRA rules that are being adopted as part of the consolidated rulebook (Consolidated FINRA Rulebook).
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to questions by members, issuers, and the legal community, the NASD is issuing this Notice to Members to
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
Notice of Annual Meeting of FINRA Firms and Proxy
Notice of Special Meeting of Large Firms and Proxy
