Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory Notice 25-05.Fundamental to the fiduciary relationship that exists between our firm and our clients is
This video series helps firms currently in the Membership Application Program (MAP) process including those who are considering registering a new broker-dealer firm or filing a continuing membership application. The five short videos outline the various stages of the process and highlight key resources.Membership Application Program - MAP TriageThis video addresses the MAP intake process,
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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
I strongly believe it is of the utmost importance that the general public be allowed to invest in these publicly available securities. They allow people with smaller amounts of capital to get the exposure they need to the market, and invest for they and their family's future financial well-being. Limiting these investments to professionals or only those with high capital would be class
The Annuities Securities Products topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
All widows and widowers could benefit from a few basic financial tips to manage their money.
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to change the territorial boundaries of certain NASD district offices.
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FINRA Small Firm Advisory Board Election
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 14, 2001
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KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The
