INFORMATIONAL
NASD Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Recording NASD Field Examinations
Executive Summary
In response to a request by a member firm, NASD Regulation, Inc. (NASD RegulationSM) recently clarified its long-standing practice of not permitting members to record by video or audio tape conversations between
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual Fund
Executive Summary
Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of
Jon Kroeper, Executive Vice President, Quality of Markets, is leaving FINRA, effective at year end, to pursue other opportunities.
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Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
In Notice to Members 99-
FINRA has begun disseminating individual transactions in active U.S. Treasury securities at the end of the day, raising the level of transparency in the market for these benchmark securities.
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceOperationsTraining
Executive Summary
Effective April 29, 1994, the Department of the Treasury (Treasury) issued regulations under the Government Securities Act of 1986 (GSA) to require broker/dealers to initiate buy-in procedures for mortgage-backed securities that are in a fail-to
Read CEO Robert Cook’s email to firms previewing topics the Board is scheduled to discuss at the July 2024 FINRA Board of Governors Meeting.
How is owning a security a bigger threat than owning a firearm? Currently I dont have to take any tests or demonstrate any knowledge to own a firearm or ammunition, and any risks involved with gun ownership the government considers acceptable. So how exactly does these new rules protect me? I dont see how the government can tell me Im competent enough to own a firearm and ammunition but not a
I'm troubled to learn that my access to invest in leveraged funds me be significantly hindered, if not outright prohibited. Those who are investing directly in the market can see for themselves how certain assets are performing and can put protections in place to guard against significant losses. It should be up to the the investor, not a bureaucrat what risks he or she wants to take. Please
