SUGGESTED ROUTING*
Internal AuditLegal & ComplianceMunicipalOperationsSyndicateSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1989. On this day, the NASDAQ System and the exchange markets will be
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 3, 1987, 24 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,754. These 24 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
WASHINGTON—FINRA’s Board of Governors met June 4-5. The Board approved two rule proposals, approved the appointments of new Advisory Committee members, met with Securities and Exchange Commission (SEC) Commissioner Mark Uyeda, and received updates on FINRA’s long-term financial planning and FINRA’s enterprise risk management and cybersecurity program.
Executive 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 Web CRD/IARD for the annual registration renewal process. The payment deadline is January 17, 2020.
Please direct questions concerning this Notice to the FINRA Call Center at (301) 869-6699.
Background &
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
As part of a network change, there will be a potential traffic interruption in fileX SFTP service for date and time below. Users can re-establish connection and resume file transfers if they encounter failures.
CT on 6/4/2022 at 7 PM
PROD on 6/11/2022 at 8PM
Contact FINRA Support Center (800) 321-6273, or by email, if you have any
Additional Guidance on FINRA’s New Suitability Rule
Good afternoon and thank you for inviting me to spend some time with you discussing complex products. I'm sure you know that this has been a priority for FINRA examiners. I would like to share some of what we have learned so far.
Financial institutions have an obligation to safeguard your personal financial information, but you have an important role to play as well. Understanding how customer account takeover incidents and theft of personal financial information might occur and taking steps to minimize your risk can make a difference.
