The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
SUGGESTED ROUTING
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
TO: All NASD Members and Interested Persons
ATTN: Registration, Training and Compliance Personnel
The subject matter of various NASD qualification examinations has been affected by the passage of the Tax Reform Act of 1984 (the "Act") as well as by recently adopted amendments to certain SEC and NASD rules. The test items affected by these changes have been deleted from the current test
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of December 19, 1991, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,673:
Symbol
Company
Entry Date
SOES Execution Level
HDVS
H.D. Vest, Inc.
11/25/91
1000
HDVSW
H.D. Vest, Inc. (CIA
TO: All NASD Members and Other Interested Persons
On June 2, 1983, the Securities and Exchange Commission ("SEC") approved amendments to Schedule E to Article IV, Section 2 of the Association's By-Laws ("Schedule E") which relates to the distribution of members' own securities and those of affiliates. The amendments became effective upon approval and are applicable
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Articles II and III of the NASD's Code of Procedure ("Code
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD invites comments on a proposed rule that would restrict the
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved new Section 43 to Article III of the NASD Rules of Fair Practice. The new section prohibits all persons associated with a member in any registered capacity from accepting employment or
The Contra Executing Firm 20 Minute Compliance report card is a monthly status report that provides information on transactions in which a firm failed, as the Contra Firm to accept / decline / compare trades within 20 minutes after execution, in apparent violation of FINRA Rules 7230A(b) and/or 7330(b). It provides information about the number of trades that were accepted / declined / compared
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, July 21, 1987, 20 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,993. These 20 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
