FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
TO: All NASD Members
ATTN: Compliance and Registration Personnel
Effective July 1, 1985, the revised Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and Form U-5 (Uniform Termination Notice for Securities Industry Registration) will be used to register and terminate individuals with the NASD through the Central Registration Depository (CRD). The revised forms are
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Senior Management
Legal & Compliance
Operations
Training
Executive Summary
On June 9, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 21 of the NASD Rules of Fair Practice to require members to make and maintain a centralized do-not-call list of persons who do not wish to receive telephone solicitations
SEC Approval and Effective Date for New Consolidated FINRA Rules and the Repeal of Certain NASD and Incorporated NYSE Rules
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
SEC Approval and Effective Dates for New Consolidated FINRA Rules
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On August 12, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Part III, Section 41(f) of the Code of Arbitration Procedure (Code) making all NASD arbitration awards publicly available. The amendment is effective October 1, 1993. The text of the amendment follows this Notice.
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
17a-11 Notification provisions for brokers and dealers.
This section applies to the following types of entities: Except as provided in this introductory text, a broker or dealer, including an OTC derivatives dealer as that term is defined in § 240.3b-12, registered
