On this episode, we delve into the results of FINRA's targeted review of certain member firms and their communications to retail investors regarding crypto products and services.
For Your Information
National Association of Securities Dealers, Inc.
July 1989
Nebraska Begins Participation in CRD Phase II Program
Effective July 1, 1989, the State of Nebraska began participation in CRD Phase II, receipt and review of broker-dealer filings. Nebraska will continue to collect the initial Form BD as well as the fee associated with a request for BD registration in the state.
TO: All NASD Members
ATTENTION: Trading DepartmentsBranch Office Trading Locations
On April 1, 1982, the NASD announced the commencement of real-time transaction reporting under Schedule D of the Association's By-Laws for certain NASDAQ securities that have been designated National Market System (NMS) securities. Since inception, the Association has been monitoring transaction reporting in
The following are former funding portal members of FINRA.Amplify Funding, LLCSEC File No.: 7-222330 E Liberty StAnn Arbor, MI 48104Avonto, LLCSEC File No.: 7-802435 E. North Street, Ste. 1108-178Greenville, SC 29615Bananafina LLC.SEC File No.: 7-2351065 NE 125th Street, Suite 300North Miami, FL 33161BaseNote LLCSEC File No.: 7-315340 S Lemon Avenue, #9290Walnut, CA 91789Bioverge Portal, LLCSEC
Uninvested cash is a potentially valuable part of your investment portfolio. So it pays to pay attention to it, especially when interest rates move up or down. Understand the facts about your uninvested cash, the different cash management programs available and questions to ask.
TO: All NASD Members and Other Interested Persons
Existing Limited Representative Examinations
Investment Company Products/Variable Contracts
Direct Participation Programs
Municipal Securities
Option Securities*
Products Covered in Proposed Corporate Securities United Representative Examinations
Common and Preferred Stock
Corporate Debt Issues
Stock Rights and Warrants
Foreign Securities and
The Credit Risk Management, Liquidity Risk Management and Net Capital sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThrough this Notice, NASD announces the election results for the District Committees and the District Nominating Committees. The candidates nominated to the District Committees have been duly elected in Districts 2 through 9, and in District
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 32 issues joining the NASDAQ/National Market System on Tuesday, September 18, 1984, there will be 1,078 securities trading under real-time trade reporting. These 32 issues meet the SEC's voluntary designation criteria.
The 32 securities scheduled to be phased into NASDAQ/NMS on September 18 are
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill two large firm seats and one small firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite
