For individuals who are currently registered reps or employed with a firm, you should work with your firm’s compliance department to make sure that you are properly registered, provide your firm with timely updates to your record and understand your obligations as a Registered Rep.
While your firm manages most of your information, you can use the Financial Professional Gateway (FinPro) system to
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Extended Hours Trading Risk Disclosure
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Advertising
Compliance
Institutional
Legal
Operations
Options
Registered Representatives
Risk
Senior Management
Trading
Training
Key
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
FINRA Announces Results of SFAB, NAC and District Committee Elections
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD® Rule 2350, which specifies requirements applicable to broker/
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2018
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal and ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThrough this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The newly elected District Committee members will serve until January 2007.1District 10 (New York) had an additional
Effective December 13, 2007, "Derivative-Related Transactions" are exempt from the TRACE reporting requirements.
SUGGESTED ROUTING*
Internal AuditMunicipalOperationsSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
Christmas Day and New Year's Day
Securities markets and the NASDAQ System will be closed on Monday, December 26, 1988 and Monday, January 2, 1989 in observance of Christmas Day and New Year's Day respectively. "Regular-way"
