SummaryFINRA is issuing this Notice to remind member firms of longstanding Securities and Exchange Commission (SEC) and FINRA rules and guidance concerning best execution and payment for order flow, which the SEC has defined very broadly to refer to a wide range of practices including monetary payments and discounts, rebates, or other fee reductions or credits. Under these rules and guidance,
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Executive Summary
On February 5, 1997, in Release No. 34-38245 (Release), the Securities and Exchange Commission(SEC) amended its broker/dealer record retention rule to allow broker/dealers to employ, under certain
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Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial
Industry Governor (Investment Company Affiliate)General Counsel, J.P. MorganGovernor Since 2024Committee: Regulatory Policy CommitteeProfessional ExperienceGeneral Counsel, J.P. Morgan Chase Commercial & Investment Bank (2015 – Present)Partner, Skadden, Arps, Slate, Meagher & Flom LLP (2004 – 2009 and 2014 – 2015)Assistant Secretary for Financial Institutions, U.S. Department of
SummaryThe purpose of this Election Notice is to: (1) notify members of an upcoming election to fill one large firm seat and one small firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional large or small firm
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Mutual Fund
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENT
EXECUTIVE SUMMARY
The NASD requests comment on a proposed amendment to
REQUEST FOR COMMENT
Proposed Rule Governing the Purchase, Sale, or Exchange of Deferred Variable Annuities
Comment Period Expired: August 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Affidavits
Arbitration
Central Registration Depository System (CRD® or CRD system
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 theMunicipal Securities Rulemaking Board (MSRB).
The FINRA Institute CRCP Scholarship Program provides small firms-those with less than 150 registered representatives-with a financial grant covering full tuition for the entire program, including room and board for the residential courses at Wharton.
<p>A partnership registering as a broker/dealer, which will be trading only for its own account, has no customers for purposes of Rule 2330(f).</p>
