SEC Approves FINRA’s Capital Acquisition Broker (CAB) Rules
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, May 20, 1986, 28 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,363. These 28 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
October 24, 2002
NASD plans to implement its next regular quarterly release for the fourth quarter of 2002 (2002.4) into the testing environment on December 2, 2002 and into the production environment on December 16, 2002. This release contains one enhancement that may require changes to firms' system codes.
Originating MPID
NASD is adding a field called "Originating MPID" to
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA Membership” and using the email address “[email protected]”. The email asks the recipient to respond to an issue of “regulatory non-compliance for which your immediate response is required” and then asks the recipient to click on a link or
1. What is E-Bill and what can I do in E-Bill?
E-Bill is FINRA's financial system that enables entitled users to view accounting details of the firm's Flex-Funding and Renewal accounts, fund the accounts, pay annual renewal assessments, and view and pay FINRA invoices.
Your credit score is a picture of you as a credit risk to the lender at the time of your application.
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
[Please note: There is currently no text to accompany this notice]
