NASD has filed with the SEC a proposed rule change to amend Section 4 of Schedule A to the NASD By-Laws by establishing a late fee to be assessed against NASD members that fail timely to pay their yearly renewal fees to the Central Registration Depository.
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Systems
Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
Unexpected Close
Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
Proposed Rule Filing Relating to Simplified Arbitration
AAccount StatementsActive Duty Military LeaveAdjudication & DecisionsAdvertising RegulationAdvisory CommitteesAlgorithmic TradingAlternative Display Facility (ADF)Annual AuditAnnual Regulatory and Examination Priorities LetterAnnual ReportsAnnuities and InsuranceAnti-Money LaunderingArbitration & MediationAsset-Backed Securities / Securitized ProductsAutomated Data Delivery System
The Series 14 exam — the Compliance Officer Qualification Exam (CR) — assesses the competency of an entry-level principal to perform their job as a compliance officer.
FINRA Provides Clarification on SEC Guidance Regarding Emergency Orders Concerning Short Selling
Proposed Rule Change Relating to the New Securities Industry Essentials (SIE) Examination
Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
The Consolidated Audit Trail (CAT) section of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
