The process for submitting fingerprints differs for broker-dealers and funding portals. Funding portals should review the EFP Quick Reference Guide for Funding Portals for their fingerprint submission process.Organizations that collect or receive information in connection with fingerprinting personnel, including Criminal History Record Information (CHRI), are responsible for
Entity should obtain a "no action" letter from the SEC before NASD Regulation will determine whether payment of non-transaction-based compensation from a member to a non-member for administrative and clerical services under a preferred alliance agreement would violate Rule 2420.
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
1) What is the single most neglected area in the field of investor education? How might this area be developed? ANSWER: While the barrier of entry to investment markets is lower than ever with online low cost trading platforms, etc. - the technical knowledge required to make informed corporate investment decisions, creates a huge barrier to the average investor. A single most neglected area is
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule
FINRA Resources
Senior Investors Topic Page
FINRA Securities Helpline for Seniors
Regulatory Notice 19-36 (FINRA Requests Comment on a Proposed Rule to Limit a Registered Person from Being Named a Customer’s Beneficiary of Holding a Position of Trust for or on Behalf of Customer)
Regulatory Notice 19-27 (FINRA Requests Comment on Rules and Issues Relating to Senior Investors)
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 10, 1994. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date because many of the nation's banking
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 11, 1993. On this day, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading. However, it will not be a settlement date since many of the nation's
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On February 26, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D that require members to append a fifth-character location indicator to their market-maker identification symbol (MMID) in securities that are traded at a location away from the primary
