FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
Good Evening, I support these changes. I’ve have experienced the consequences of not having these rules in place and had lost a lot of confidence in investing in the financial system. Not having these changes in place also make me worry about a complete collapse of the financial system. These proposed changes have restored a lot of my confidence. Please implement these changes as soon as possible
GUIDANCE
Anti-Money Laundering Compliance
Programs
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
IM-3011-1
IM-3011-2
Rule 3011
Executive Summary
On December 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 3011 and the adoption
of IM-3011-1 and IM-
The Market Access Controls section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Proposed Rule Change to Clarify the Scope of the Definition of “Asset-Backed Security” for Purposes of Reporting to FINRA’s Trade Reporting and Compliance Engine (TRACE) System
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Section 8 of Schedule A to NASD's By-Laws to increase the service charge for processing extension requests to $4.00 per request.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for nine months, to January 26, 2007, the operation of NASD's Alternative Display Facility ("ADF") on a pilot basis.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand NASD's current Order Audit Trail System (OATS) exemptive authority to include recording requirements.
