SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
Summary
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in CRD/IARD for the annual registration renewal process. The payment deadline is January 22, 2021.
Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.
Background & Discussion
GUIDANCE
Supervision of Recommendations after a Registered Representative Changes Firms
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Senior Management
Mutual Funds
Registered Representatives
Rule 11870
Supervision
Variable Products
Executive Summary
Registered representatives with an established customer base
may, from time to time,
The Fund Analyzer offers information on over 30,000 mutual funds, Exchange Traded Funds (ETFs), and Exchange Traded Notes (ETNs).
FINRA Reminds Firms of Their Obligation to Electronically Report Specified Events and Quarterly Customer Complaint Information and Provides Additional Guidance on Automated Reporting Under FINRA Rule 4530
it is unnecessary and a clear attempt to drive up costs for the investors by increasing dependence on paid financial consultants - you exist to serve the investors NOT those selling services. Please work at reducing regulatory burdens on investors and concentrate on keeping financial consultants and corporate Board members working for the investors and staying true to their fiduciary duties.
The FINRA Cybersecurity Conference helps you stay current on today’s cybersecurity challenges and the ways in which organizations can understand vulnerabilities and threats, and create resilience against cyber attacks. Whether you are the Chief Information Security Officer, an IT professional, compliance officer or business owner, you will learn from leading experts in the
In observance of Christmas and New Year’s Day, the FINRA Alternative Display Facility (ADF) system will follow the schedule below:
Tuesday, December 24, 2019 Early Close
Wednesday, December 25, 2019 Closed
Wednesday, January 1, 2020
GUIDANCE
Structured Products
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Derivatives
Options
Structured Products
Structured Securities
Executive Summary
As a result of a recent review of members that sell structured
products, NASD staff is concerned that members may not be
fulfilling their sales practice obligations when selling
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on extensive amendments to Article III, Sections 1
