As announced by the Board of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions' daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine (TRACE
(a) Hearing Panel Consideration
(1) Appointment of Hearing Panel
When the disqualified member, sponsoring firm, or applicant requests a hearing, the National Adjudicatory Council or the Review Subcommittee shall appoint a Hearing Panel composed of two or more members, who shall be current or former members of the National Adjudicatory Council or the Statutory Disqualification Committee or former
Saving for retirement can be daunting, so it’s no surprise that employer-sponsored retirement plans can be a key stepping-stone into the world of investing—and through your investments, to a healthy retirement nest egg. Don’t have access to an employer-sponsored plan? No problem. Here are 5 ways to start saving today.
Upcoming District Committee and District Nominating Committee Elections
If putting all your financial information online in one place sounds like a good idea, there are many companies ready to help you organize your financial life. However, before you share your financial details with data aggregators, it pays to know how these services operate and how to protect yourself from potential privacy and security risks.
NASD formed the Mutual Fund Task Force (“Task Force”) to consider issues relating to soft dollars, mutual fund portfolio transaction costs and distribution arrangements. The Task Force was established after discussions between the Securities and Exchange Commission (“SEC”) and NASD staffs, to provide guidance to the SEC as it considers these issues.
The Task Force is comprised of senior industry
FINRA is conducting a review of firm practices related to the acquisition of customers through social media channels and how firms manage their obligations related to information collected from those customers and other individuals that may provide data to firms. Please note that each item requested is specific to the subsection header.
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JUNE 20, 1983
The National Association of Securities Dealers, Inc. (the "Association") is submitting for membership vote a proposed new section of the Rules of Fair Practice which, if adopted, would replace the current Interpretation of the Board of Governors — Review of Corporate Financing
