2003 - 2004 Filing Due Dates
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Annual Audits, and Customer Complaints by their due dates. The following schedule outlines due dates for 2004. Questions regarding the information to be filed can be directed to the appropriate District Office. Business questions as to how to file the FOCUS report, resetting
SEC Approves Consolidated FINRA Customer Order Protection Rule
Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
48
Backing Away
49
Best Execution—Failure to Comply With Requirements for Best Execution
50
Branch Offices—Failure to Register
39
Cheating, Using an Impostor,
FINRA Filing Requirements and Review of Regulation A Offerings
On This PagePortfolio Margin DataFiling ScheduleHow to Access the File Upload FunctionBefore Uploading a File for the First TimeHow to Upload a FilePortfolio Margin Exam DataPortfolio Margin DataFINRA requires that all Portfolio Margin (PM) member firms submit their PM data via a file upload (fileX Upload).For more information on the expanded data requirements, please download version 2.0 of the
Submission of "Clearing-Only, Non-Regulatory Reports" to the FINRA Equity Trade Reporting Facilities
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2013
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Internal Audit
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Executive Summary
NASD Regulation, Inc. (
Summary
FINRA has adopted changes to FINRA Rules 5122 (Private Placements of Securities Issued by Members) and 5123 (Private Placements of Securities) to require members to file retail communications that promote or recommend private placement offerings that are subject to those rules’ filing requirements.1 The new filing requirements become effective on October 1, 2021.
The amended
<p>OATS Clock Synchronization Logs – Record Keeping Requirements.</p>
