Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports and Priorities Letters (collectively, Reports), to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of Applicability – Performed a
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Interpretive Material ("IM") 2210-4 to require a member firm or a person associated with a member firm that refers, on its internet web site, to the firm's membership in NASD to provide a hyperlink to NASD's web site.
SUGGESTED ROUTING*
Legal & Compliance
Operations
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
On May 1, 1990, the NASD and the New York Stock Exchange (NYSE), subject to resolving certain contract language, will begin computer administration of the (Series 7) General Securities
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports, Priorities Letters and Reports on FINRA’s Examination and Risk Monitoring Program to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.
Assessment of
Firms have shared the following ways they have used prior FINRA publications, such as Exam Findings Reports, Priorities Letters and Reports on FINRA’s Examination and Risk Monitoring Program, to enhance their compliance programs. We encourage firms to consider these practices, if relevant to their business model, and continue to provide feedback on how they use FINRA publications.Assessment of
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in FINRA Regulatory Notice 25-05.Fundamental to the fiduciary relationship that exists between our firm and our clients is the trust that our clients have that their
Date: May 1, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1735 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment on the newly proposed Rule 3290 as set forth in
On October 2, 2023, FINRA will launch the new Fingerprint Program for Transfer Agents and Clearing Agencies (TA/CAs) as the SEC declared FINRA's updated Fingerprint Plan effective September 22, 2023. This Program outsources fingerprint processing to Sterling Identity (Sterling), the same FBI-approved channeler that processes fingerprints for broker-dealers on FINRA’s behalf.
Date: April 24, 2025Ms. Jennifer Piorko MitchellOffice of the Corporate Secretary FINRA 1735 K Street Washington, DC 20006Re: Request for Comment on Regulatory Notice 25-05 Dear Ms. Mitchell, I am an owner of a Registered Investment Advisory firm and a registered representative of an unaffiliated FINRA member firm. I appreciate the opportunity to comment the newly proposed Rule 3290 as
