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Notice To Members 94-44
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceRegistrationTraining Executive Summary The Board of Governors, acting on the recommendation of a special Ad Hoc Committee, is clarifying the applicability of Article III, Section 40 of the NASD Rules of Fair Practice to the investment advisory activities of registered representatives. This Notice describes those
Notice to Members 97-37
Comment Period Expires: July 15, 1997 SUGGESTED ROUTING Senior Management Advertising Legal & Compliance Training Executive Summary In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD® Rule 2210 to require that
Regulatory Notice 15-06
FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Regulatory Notice 10-33
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Segregation of Assets and Customer Protection
Regulatory Obligations and Related Considerations Regulatory Obligations Exchange Act Rule 15c3-3 (Customer Protection Rule) imposes requirements on member firms that are designed to protect customer funds and securities. Member firms are obligated to maintain custody of customers’ fully paid and excess margin securities, safeguard customer cash by segregating these assets from the firm’s
I. FINRA, Inc.
FINRA, Inc. (referenced as "FINRA"), the Registered Section 15A Association, is the parent company of FINRA Regulation, Inc. (referenced individually as "FINRA Regulation") and FINRA CAT, LLC (referenced individually as "FINRA CAT") (referenced collectively as the "Subsidiaries"). The term "Association" shall refer to FINRA and the Subsidiaries
Financial Crimes
NEW FOR 2023 Cybersecurity and Technology Governance Anti-Money Laundering, Fraud and Sanctions Manipulative Trading NEW FOR 2023 Previous: How to Use the Report Up: Financial Crimes Next: Cybersecurity and Technology Governance
Firm Operations
Outside Business Activities and Private Securities Transactions Books and Records Regulatory Events Reporting Firm Short Positions and Fails-to-Receive in Municipal Securities Trusted Contact Persons Funding Portals and Crowdfunding Offerings Previous: Manipulative Trading Up: Firm Operations Next: Outside Business Activities and Private Securities Transactions
Communications and Sales
Reg BI and Form CRS Communications with the Public Private Placements Variable Annuities Previous: Funding Portals and Crowdfunding Offerings Up: Communications and Sales Next: Reg BI and Form CRS
Market Integrity
Consolidated Audit Trail (CAT) Best Execution Disclosure of Routing Information Fixed Income – Fair Pricing NEW FOR 2023 Fractional Shares: Reporting and Order Handling NEW FOR 2023 Regulation SHO – Bona Fide Market Making Exemptions and Reuse of Locates for Intraday Buy-to-Cover Trades NEW FOR 2023 Previous: Variable Annuities Up: Market Integrity Next: Consolidated Audit Trail (CAT