Remarks from the CCOutreach BD National Seminar, as prepared for delivery.
FINRA’s examination, surveillance and risk monitoring programs play a central role in supporting FINRA’s mission of investor protection and market integrity.
Account Statements: 08-77
Auction Rate Securities: 08-21
Bond Mutual Fund Volatility/Risk Rating: 00-23, 01-58, 03-48, 06-05
Books and Records: 96-82, 98-11, 03-33, 05-27, 06-45, 08-12, 08-28, 08-73, 10-06, 11-39, 17-18
Branch Offices: 02-52, 05-66, 05-67, 06-12, 14-11
Brokerage: 13-23
BrokerCheck Link: 14-19, 15-50
Capital Acquisition Broker Rules: 16-37, 17-14
Capital Formation: 17-14
The Series 79 exam — the Investment Banking Representative Exam — assesses the competency of an entry-level registered representative to perform their job as an investment banking representative.
No person associated with a capital acquisition broker shall participate in any manner in a private securities transaction as defined in FINRA Rule 3280(e).
Adopted by SR-FINRA-2015-054 eff. April 14, 2017.
Selected Notice: 16-37.
(a) Applicability
No person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.
(b) Written Notice
Prior to participating in any private securities transaction, an associated person shall provide written notice to the member with which he is associated describing in detail the proposed transaction
