INFORMATIONAL
Online Suitability
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal & Compliance
Executive Representatives
Suitability
Online Communications
Executive Summary
In light of the dramatic increase in the use of the Internet for communication between broker/dealers and their customers, NASD Regulation, Inc. (NASD Regulation) is issuing a Policy
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
FINRA would like to remind member firms of their obligation to file their appropriate short interest reports by their due dates.
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
February 8, 2011
Dear Executive Representative/Chief Compliance Officer:
FINRA is publishing its 2011 Annual Regulatory and Examination Priorities Letter to highlight new and existing areas of significance to our regulatory programs. This edition of the letter includes topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
REQUEST FOR COMMENT
Proposed Rule to Enhance
Confirmation Disclosure in Corporate
Debt Securities Transactions
Comment Period Expires April 19
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered Representatives
Senior ManagementTechnologyTraining
ConfirmationsDebt SecuritiesOperationsTransaction Reporting
Executive Summary
NASD is requesting
GUIDANCE
Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Operations
Extension of Time Requests
NASD Rule 3160
Regulation T
SEC Rule 15c3-3
Executive Summary
On September 15, 2006, the Securities and Exchange Commission (SEC) approved new NASD Rule 3160 that requires: (1) all
GUIDANCE
Outsourcing
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Due Diligence
Outsourcing
Supervisory Responsibilities
Third-Party Service Providers
Executive Summary
NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to
INFORMATIONAL
Dispute Resolution Subsidiary
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Dispute Resolution
Mediation
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
