Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 3220 (Influencing or Rewarding Employees of Others) to increase the gift limit from $100 to $250 per person per year, provide for exemptive relief, and incorporate existing guidance and interpretive letters. The proposed
Overview
FINRA launched the Helpline on April 20, 2015 to provide investors with access to specially trained FINRA staff who can assist senior and vulnerable adult investors with questions or concerns about their brokerage accounts and investments. As of December 31, 2019,5 the Helpline has received over 18,000 calls from all 50 states and several countries. Helpline callers range in age from 17
FINRA Provides Guidance on Advertising Regulation Issues
TO: All NASD Members and Interested Persons
ATTENTION: REGISTRATION AND TRAINING PERSONNEL
The passage of the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA" or the "Act") has brought about changes in the tax law which will have an impact on the subject matter of the qualification examinations administered by the NASD. The chart at the end of this notice lists the
Summary
Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present significant conflicts
SUGGESTED ROUTING*
Corporate FinanceInternal AuditOperations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities Investor Protection Corporation has reimposed assessments based on gross revenues. The assessment rate of three-sixteenths of one percent (.001875) went into effect January 1, 1989.
BACKGROUND
Last summer, the Board of
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Virtual Arbitration Hearing Statistics
Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Result of
Each year, FINRA publishes its Annual Risk Monitoring and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
FINRA Reminds Firms of Their Obligations With Variable Life Settlement Activities
Comprehensive Automated Risk Data System
Regulatory Notice
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Suggested Routing
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Legal
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Key Topics
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