TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 28, 1986
The National Association of Securities Dealers, Inc. (NASD), is requesting comments on a proposed amendment that would provide limited exemptions for certain persons purchasing securities in connection with the conversion to stock ownership of mutual savings and loan associations, savings banks and certain
On October 25, 2001, the SEC adopted amendments to Rules 17a-3 and 17a-4. The purpose of this Notice is to address some frequently asked questions about the SEC requirements.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
Proposed New Rules Governing Communications About Variable Insurance Products; Comment Period Expired: September 30, 2008
In addition to the Small Firm Helpline, FINRA has implemented other programs for small firms:
Benefits Specific to Small Firms
Increased the number of Certified Registered Compliance Professional small firm scholarships.
Significantly reduced the small firm registration fee for FINRA conferences.
Initiated a retrospective review of FINRA Rule 4311 (Carrying Agreements), especially important
Failure of the seller to meet the requirements of good delivery relating to bonds and similar evidences of indebtedness, as set forth in paragraphs (a) through (h) of this Rule inclusive, shall make the seller liable for any expense incurred as a result of such failure.
(a) Coupon Bonds
A coupon bond shall have securely attached in the correct place proper coupons, warrants, etc., of
2025 Program Dates: November 16 – 21This course takes place at Georgetown University's McDonough School of Business in Washington, DC. Over five days, Georgetown University business and law school professors and financial services industry experts explore a series of advanced-level regulatory and compliance topics that help participants build on previous coursework covered during Week I.
FINRA Gateway, the new compliance portal, is designed to streamline the FINRA compliance and reporting experience by providing a more flexible solution that can be customized to target your specific needs.
Comment Period Expires: December 1, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registered Representatives
Systems
Executive Summary
At its September 1997 meeting, the NASD Regulation, Inc., Board of Directors (Board) approved a proposed
Summary
The United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions that may occur.
