FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) reminds NASD® members and their associated persons who sell variable life insurance contracts and variable annuity contracts (Variable Contracts) of their obligations with respect to the suitability requirements of the NASD Conduct
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
La mayoría de nosotros conocemos a una víctima de una estafa financiera, o quizás nosotros mismos lo hayamos sido. Si se ha visto afectado por este tipo de delito, hay formas de obtener ayuda. Estos pasos pueden ayudarle a recuperar el poder frente a los estafadores y comenzar a seguir adelante
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 14, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill two upcoming vacancies on the National Adjudicatory Council (NAC). The
An exemption is granted based on the following: (1) the contribution was made more than one year after Name transferred from the Firm Municipal Finance Department to another department; (2) from his/her transfer on May 1, 2000, to the present, Name continues to be designated an MFP only because of the two year "lookback" provision; (3) Name had no personal involvement in Firm's municipal securities activities with City, including the pre-existing and established selection of Firm as one of several underwriters; and (4) the contribution, which was returned, was made to the campaign of a candidate for public office who is not now an issuer official, and who had no apparent opportunity to influence the award of municipal securities business.
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
Effective March 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Executive Summary
Some of the self-regulatory organizations (SROs) comprising the Intermarket Surveillance Group (ISG) agreed to adopt policies to ensure uniform reporting of all short interest in traded securities. The NASD has amended Article III, Section 41 of the NASD
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance
