Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
SummaryThrough its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect
SEC Approves Amendments to FINRA Rules Regarding Temporary and Permanent Cease and Desist Orders
Executive SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the NAC, and candidates for vacant Regional Committee seats
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
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Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 24, 1992, the Securities and Exchange Commission (SEC) announced the adoption of amendments to its Net Capital Rule, Rule 15c3-1 (Rule). Except for the minimum increases scheduled to
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Registered
The OATS Compliance Report Card is a monthly status report on the number and percentage of:
OATS Late Submissions;
Out of Sequence Events;
Unmatched Execution Reports;
Unmatched Exchange Route Reports;
Unmatched Interfirm Route Reports;
Unmatched Interfirm Routes Received; and
Unrepaired Repairable Rejected Order Events.
Member firms are required to submit Reportable Order
Last Voting Date: August 29, 1994
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Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws to prepare for a planned new numbering scheme for the NASD Manual; to correct certain minor errors found in the By-Laws; and to provide for Board approval of future spelling and numbering changes. The
SEC Approves Rule Change Creating New Limited Representative – Investment Banker Registration Category and Series 79 Investment Banking Exam
