1. What is the Form BR?
Form BR is the Uniform Branch Office Registration form that enables firms to "register" or "notice file" branch offices electronically through FINRA Gateway with FINRA, the New York Stock Exchange, Inc. (NYSE) and other participating jurisdictions.
Social isolation, whether voluntary or involuntary, has long been a leading factor contributing to the financial exploitation of older investors. FINRA, NASAA, the SEC's Office of Investor Education and Advocacy, NFA and the CFTC’s Office of Customer Education and Outreach are continuing to raise awareness of the devastating impact social isolation can have on senior investors and offer tips that can help.
• Disqualified Persons—Failure to Discharge Supervisory Obligations
• Supervision—Failure to Comply With Taping Rule Requirements
• Supervision—Failure to Supervise
• Supervision—Systemic Supervisory Failures
• Supervisory Procedures—Deficient Written Supervisory Procedures
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
In response to numerous customer complaints and industry frustration about delays in the transfer of securities accounts from one brokerage firm to another, NASD established the Customer Account Transfer Task Force (Task Force) to consider ways to improve the process of inter-firm customer account transfers. This Report presents the results of the Task Force's deliberations.
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Quantum mechanics is a branch of physics that deals with the complex properties of atoms and sub-atomic particles.2 Quantum computing leverages the principles of quantum mechanics to solve problems too large or complex for traditional computers. Although quantum computing is still
Comment Period Expires: February 3
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Trading
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on a new proposed rule, NASD® Rule 2460 (Rule), that would prohibit any payment by an issuer or the issuer's affiliates and promoters, directly or indirectly, to a member for
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Trading & Market Making
Training
OTC Bulletin Board
Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members And Interested Persons
LAST VOTING DATE IS NOVEMBER 21, 1983
Attached are amended By-Laws of the Association which are being submitted to the membership for a vote. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-
FINRA Requests Comment on a Revised Proposal to Identify and Manage Conflicts Involving the Preparation and Distribution of Debt Research Reports
