This category mapping is provided as a tool to assist member firms in understanding Rule 4111. The terms used in this mapping are defined in Rule 4111, which controls their meaning. This mapping guidance will be updated publicly as needed.
The table below maps the disclosure events that are relevant for Rule 4111 (Restricted Firm Obligations) by category to the
I am Steve Luparello, Vice Chairman of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today on the important issues of how markets and trading have evolved, and how we can enhance the information regulators receive to ensure market integrity and the protection of investors.
By Bill St. Louis, Executive Vice President and Head of FINRA EnforcementFINRA Enforcement works on the front lines of investor protection. This blog post discusses some of the key objectives that drive this critical work.First, some brief background about FINRA and the role Enforcement plays as part of a multi-faceted regulatory program.FINRA helps ensure that everyone can participate
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 10 securities will join the 880 already trading in the NASDAQ National Market System on Tuesday, May 8, 1983. (The 880 include the 50 issues scheduled to join NMS on April 17.) These securities have met the NMS mandatory designation requirements, which include an average trading volume of 600,000 shares a month for six months
(a) Limitation on Distribution and Solicitation Activities
No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice examines a number of due diligence reimbursement practices that have arisen in the area of public offerings of direct participation programs and the appropriateness of those practices under the NASD's underwriting compensation guidelines. This notice is a
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
83-1
January 6, 1983
Real-Time Transaction
FINRA’s District Compliance Seminar with the State of Pennsylvania offers a comprehensive agenda designed for new and experienced compliance and legal professionals. Industry and regulatory speakers facilitate an interactive discussion on regulatory rules and effective practices.
Agenda
Wednesday, October 16
12:00 p.m. – 5:00 p.m.
Registration
1:00 p.m. – 1:05 p.m.
StatePercentage Answering 5 or More Financial Knowledge Questions CorrectlyPercentage Answering Inflation Question CorrectlyAlabama20.17%54.30%Alaska29.51%57.15%Arizona24.39%59.65%Arkansas24.17%56.42%California31.11%58.46%Colorado33.89%62.60%Connecticut28.92%61.56%Delaware29.31%57.35%District of Columbia34.41%57.41%Florida25.68%55.95%Georgia25.51%55.92%Hawaii31.27%61.62%Idaho29.37%62.98%
Year 2000 Tips For Members Will Your Fax Machine Work?
As the millennium approaches, one of the areas all businesses should assess for Year 2000 readiness is their internal office equipment. Last month, Notices to Members provided information on how to check a PC (personal computer), and this month's tip for members involves preparing your fax machine for 2000. Firms should first contact
