TO: All NASD Members and Other Interested Persons
The methods used in calculating yields on mutual funds and unit investment trusts, whose primary objective is the provision of income, and the manner in which such are presented to the public have been the subject of mounting interest and comment during the past year. The NASD has received complaints from its members, the staff of the Securities
<p>Application of Rules 3030 and 3040 to associated persons who receive commissions for brokering viatical settlement contracts.</p>
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
COMMENTS MUST BE RECEIVED BY NOVEMBER 8, 1984
The Association's Board of Governors has approved for membership comment a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice. Appendix F contains rules and regulations relating to public offerings of
(a) Except as provided in Rule 12300(a)(2), a respondent must serve an answer to a cross claim on each other party within 20 days from the date that the respondent's answer to the statement of claim is due, or from the receipt of the cross claim, whichever is later. At the same time, the respondent must file the answer to the cross claim with the Director.
(b) The answer must include
FINRA publishes the short interest reports it collects from broker-dealers for all exchange-listed and over-the-counter (OTC) equity securities. Learn more about equities and OTC equities trading.FINRA Rule 4560 requires FINRA member firms to report their short positions in all OTC equity securities to FINRA. OTC equity / other OTC short interest is available for view by issue, or by
GUIDANCE
Business Continuity Planning
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Information Technology
Legal & Compliance
Operations
Senior Management
Training
Business Continuity Planning
Rule 3500 Series (Emergency
Preparedness)
Executive Summary
In May 2004, NASD issued Notice to Members 04-37 regarding
Summary
The purpose of this Election Notice is to (1) notify members of an upcoming election to fill two large firm seats and one mid-size firm seat on the National Adjudicatory Council (NAC); (2) announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies; and (3) describe the procedures to be included as an additional candidate on the ballot
The SEC, NASAA and FINRA are jointly issuing this Investor Alert to make investors aware of the increase of investment frauds involving the purported use of artificial intelligence (AI) and other emerging technologies. Bad actors are using the growing popularity and complexity of AI to lure victims into scams. Here are a few things to look out for to help you keep your money safe from these frauds.
<p>Minimum requirements under NASD Rule 3010 if a member centralizes its supervisory oversight function over the firm's employees who are both acting as registered representatives and as investment advisers.<br/></p>
As FINRA's industry technology developments continue, the systems and work processes used by firms—and industry professionals—to manage registration-related information are also changing. Join us during this webinar series as we discuss topics related to the following areas:
transitioning registration compliance workflows to FINRA Gateway,
continuing education platform changes
