INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
Summary
The Securities and Exchange Commission (SEC) has approved a proposed rule change to amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) to conform to the requirements of the Fair Access to Investment Research Act of 2017 (FAIR Act).1 The rule change creates a filing exclusion under Rule 2210 for investment fund research reports that
EssentialsThe basic purpose of life insurance is to provide financial support to people who depend on you financially—such as your spouse, partner, children or other loved ones—in the event of your death.Many types of life insurance are available. Key features to consider include the length of coverage, whether you pay fixed or variable premiums, how benefits are determined and costs of coverage.
Public GovernorRetiredGovernor Since 2023Committees: Audit & Risk Committee (Chair), Compensation & Human Capital Committee, Conflicts Committee, Executive CommitteeProfessional ExperienceOwner, Derrick A. Roman LLC (2021 – present)Partner, PricewaterhouseCoopers LLP (PwC) (1985 – 2020)Current Board Service and AffiliationsIndependent Director, CommScope HoldingsBoard Observer, G-
FINRA poses several questions for firms to consider as they evaluate whether their supervisory systems are reasonably designed to address risks of their SPAC-related activities. These questions are based on FINRA’s observations to this point in our review. In addition, the Appendix notes additional guidance FINRA has provided regarding member firms’ relevant obligations.
By Christine Kieffer, Senior Director, Office of Investor Education, FINRALast month, financial columnist Charlotte Cowles detailed how she lost $50,000 to a financial scam. Charlotte’s story is both alarming and illuminating—and very powerful. And, sadly, she is not alone.There likely are millions of scam stories like hers. Sophisticated criminal organizations steal billions of dollars every
Executive Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 2
Year 2000 Update Reminder To Members About SEC Filing Requirements
The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63.
The new reports relate to each member's readiness and
Finra 21-19 is a change that is long overdue to the short reporting systems that have plagued the United States capital markets for too long. The institutions that have the ability to misrepresent their short exposure and subsequent effect on the markets is not only damaging to the retail Investor but the markets as a whole. The changes implemented in Finra 21-19 are not only a step in the right
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal &
