Year 2000 Countdown
As 1999 winds down, Year 2000 issues will receive increased focus as public attention to these issues increase and companies in virtually every industry accelerate efforts to meet Year 2000 compliance deadlines. During this critical period, the securities industry will heighten its focus on regulatory compliance, investor communication, Year 2000 testing, and contingency
FINRA announced today that it has promoted Omer Meisel to Executive Vice President of the National Cause and Financial Crimes Detection Program (NCFC), effective October 2.
Sec. 2. No member shall use the name of the Corporation except to the extent that may be permitted by the Rules of the Corporation.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
Net CapitalLiquidity Risk ManagementCredit Risk ManagementPortfolio Margin and Intraday TradingSegregation of Assets and Customer ProtectionPrevious:Market Access RuleUp:Financial ManagementNext:Net Capital
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.
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In this section of FINRA.org, you will find step-by-step instructions on how to become a funding portal member of FINRA. The funding portal membership requirements are set forth in Funding Portal Rule 110. This general guide outlines the substantive standards and procedures for the entire funding portal membership application and registration process.
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved the
NASD Codes of Arbitration Procedure for Customer and Industry
Disputes (
SEC Approves Changes to Expand the Categories of Civil Judicial Disclosures Permanently Included in BrokerCheck and to Include in BrokerCheck Information About Member Firms and Their Associated Persons of Any Registered National Securities Exchange That Uses the CRD System for Registration Purposes
A self-directed individual retirement account (IRA) is an IRA held by a custodian that allows investment in a broader set of assets than most IRA custodians permit. Custodians for self-directed IRAs may allow investors to invest retirement funds in “alternative assets” that have unique risks, including a lack of information and liquidity—and the risk of fraud.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 5(b) and Article IV, Sections 3 and 4 of the NASD By-Laws, and Article IV, Section 5 of the
