SUGGESTED ROUTING
Senior Management
Government Securities
Institutional
Operations
Effective November 25, 1994, the Board of Governors of the Federal Reserve System (Fed) is adopting several amendments to Regulation T (Credit by Brokers and Dealers) regarding the payment periods for securities purchases and transactions in government securities.
Amendments to the Code of Arbitration Procedure for Customer Disputes to Expand the Options Available to Customers if a Firm or Associated Person Is or Becomes Inactive
INFORMATIONAL
Anti-Money Laundering
Effective Date: Transactions After December 30, 2002
Draft Form SAR-SF; Comments Requested by: October 4, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Money Laundering
Suspicious Activity Reporting
Executive Summary
On October 26, 2001, President Bush signed into law
(a) Limitation on Distribution and Solicitation Activities
No covered member shall engage in distribution or solicitation activities for compensation with a government entity on behalf of an investment adviser that provides or is seeking to provide investment advisory services to such government entity within two years after a contribution to an official of the government entity is made by
INFORMATIONAL
Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Rule 2260
IM-2260
Debt Securities
Operations
Forwarding of Communications
Executive Summary
On April 11, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 22601 that require a broker/dealer to make reasonable
SUGGESTED ROUTING:*
Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
After several years of discussion, the Securities and Exchange Commission (SEC), NASD, and North American Securities Administrators Association (NASAA) have resolved their differing views regarding disclosure
Information on how to work with and access FINRA Data
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Call for Review by Governor
A Governor may call an eligibility proceeding for review by the FINRA Board if the call for review is made within the period prescribed in
(b)
(5) OFFICERS
/01 Reserved.
/02 Reserved.
/03 Reserved.
/06 Limitations on Principal Executives
Principal Executives may be part-time employees, subject to the prior approval of the member organization pursuant to Exchange Rule 346(e).
(f) PRINCIPAL PLACE OF BUSINESS
/01 Criteria
In order to satisfy the rule's requirement that a member organization's principal place of
The following terms shall have the following meanings for purposes of the Rule 6640 Series.
(a) "OTC Reporting Facility" means the service that, among other things, accommodates reporting of transactions in direct participation programs (DPPs). The OTC Reporting Facility comparison function will not be available for those DPPs that are not eligible for clearance and settlement through
