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Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn.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
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.
(b)
(5) OFFICERS
/01 Reserved.
/02 Reserved.
/03 Reserved.
/06 Limitations on Principal Executives
Principal Executives may be part-time employees, subject to the prior approval of the member organization pursuant to Exchange Rule 346(e).
(f) PRINCIPAL PLACE OF BUSINESS
/01 Criteria
In order to satisfy the rule's requirement that a member organization's principal place of
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
(b)
(5) OFFICERS
/01 Reserved.
/02 Reserved.
/03 Reserved.
/06 Limitations on Principal Executives
Principal Executives may be part-time employees, subject
Summary
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice
ACTION REQUIRED
Member Contact Information Update
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Senior Management
Members/Contact Information
Executive Summary
National Association of Securities Dealers, Inc. (NASD®) member firms must update their Member Firm Contact Questionnaire (NMFCQ or
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Executive Summary
As published in NASD Notice to Members 98-77 (September), Article IV, Section 3 of the National Association of Securities Dealers, Inc. ( NASD®) By-Laws has been amended. This By-Law change, which takes effect January 1, 1999,
The MSRB G-32 Report Card is a monthly status report to help firms evaluate the timeliness of their required filings under Municipal Securities Rulemaking Board (MSRB) Rule G-32. Amended Rule G-32, which became effective on June 1, 2009, consolidated the filing requirements of former Rule G-36 and the official statement delivery requirements of Rule G-32. The new rule establishes the
By Robert Cook, President and CEO, FINRA. Last month, the SEC issued an exemptive order providing significant relief from the personally identifiable information (PII) reporting requirements of CAT (the Exemptive Order). This was an important step towards reducing unnecessary PII risk associated with CAT, and was directionally consistent with a blog I previously wrote calling for CAT to stop collecting and storing investors’ PII. As discussed below, however, the Exemptive Order did not eliminate all PII from CAT.
