FINRA does not regulate mutual funds directly, but regulates the broker-dealers and registered representatives that sell mutual funds. In this capacity, FINRA enforces rules on mutual fund advertising, sales practices, including the sales loads that broker-dealers may charge, the incentives provided to registered representatives and the execution of mutual fund portfolio transactions.
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
During the last two years, NASD Regulation, Inc. (NASD RegulationSM) has imposed
Testimony Before the Subcommittee on Oversight and Investigations
Testimony of Stephen Luparello, Vice Chairman of FINRA Before the Committee on Agriculture
Investors and financial services professionals alike are increasingly using social media for a variety of business purposes. Social Media may be a new medium, but FINRA's rules on communicating with the public are still applicable. The rules protect investors from false, misleading claims, exaggerated statements, and material omissions. Below we identify key areas and concepts when using
ACTION REQUESTED
Taping Rule
Comment Period Expires: July 25, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Public Disclosure Program
Rule 3010
Supervision
Taping Rule
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to Rule 3010(b)(2), commonly referred to as the Taping Rule
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Guidance on Blogs and Social Networking Web Sites
Frequently asked questions about private placements.
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
