NASD has filed with the SEC revisions to the examination specifications and study outline for the Limited Representative—Private Securities Offerings (Series 82) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination and to reflect more accurately the duties and responsibilities of a private securities
Exemptive relief is granted based on the determination that the dealer: (1) had developed and instituted procedures reasonably designed to ensure compliance with the rule; (2) had no actual knowledge of the contribution prior to or at the time of the contribution; (3) had taken all available steps to cause the person involved in making the contribution to obtain a return of the contribution; and (4) had taken such other remedial or preventative measures as were appropriate under the circumstances.
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Extended Hours Trading Risk Disclosure
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To whom it may concern, As a private individual investor, I am adamantly opposed to any regulation restricting our access to leveraged and inverse funds. We do not need, nor want, the oversight and binding of regulators to protect us from our investment decisions and choices. Regulators consistently allow unrestricted free-reign to the investment bankers and Wall Street cronies who have captured
REQUEST FOR COMMENTSubordination AgreementsComment Period Expires November 26, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementAppendix D to the Net Capital RuleNet CapitalSEC Rule 15c3-1Subordination AgreementsSubordinated LoansExecutive SummaryIn 2002, NASD adopted a requirement that firms submitting subordination agreements to NASD staff for approval provide
Every relationship involves taking that all-important first step. Your relationship with money and investing is no different. Explore the full course sequence or jump right into one of the topics below.
INFORMATIONAL
Anti-Money Laundering
SUGGESTED ROUTING
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Legal & Compliance
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Senior Management
Compliance Programs
Money Laundering
Executive Summary
On October 26, 2001, President Bush signed the Uniting and Strengthening America by Providing Appropriate Tools Required to Intercept and Obstruct Terrorism Act of 2001 (PATRIOT
Testimony by Senior Vice President of Investor Education and President of the FINRA Investor Education Foundation Gerri Walsh Before the Committee on Banking, Housing, and Urban Affairs United States Senate
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
The Cybersecurity section of the 2017 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.
