I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
REQUEST FOR COMMENT
Membership Application Rules
Comment Period Expires: September 20, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Membership Application Process
Membership Continuation Process
Rule 1014
Rule 1017
Executive Summary
NASD requests comment on proposed amendments to Rules 1014 and 1017. Rule 1017(a) sets forth certain
Testimony Before the Subcommittee on Oversight and Investigations
Testimony of Stephen Luparello, Vice Chairman of FINRA Before the Committee on Agriculture
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
FINRA's Financial Intelligence Unit acts as a nerve center for information on emerging threats impacting the financial industry with the aim of providing actionable intelligence to firms, other regulators and law-enforcement to keep investors safe. On this episode, we learn how the group has grown in recent years and hear how they are evolving the way they share information.
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 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.
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Frequently asked questions about private placements.
