Suggested Routing
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Executive Summary
The Securities and Exchange Commission (SEC) is requesting comments on proposed amendments to the broker/dealer books and records rules. The proposed amendments clarify, modify, and expand recordkeeping requirements with respect to purchase and sale documents, customer
SEC Approves Changes to FINRA's BrokerCheck Disclosure Rule to Retain and Make Publicly Available Information About Final Regulatory Actions Against Former Brokers
SUGGESTED ROUTING
Senior Management
Legal & Compliance
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about
A networking arrangement between a broker/dealer and a licensed insurance agency in which the non-member insurance agency receives commission payments is not subject to Rule 2420 if the arrangement is undertaken in reliance on an SEC no-action position on the registration requirements of the insurance agency as a result of the arrangement.
INFORMATIONAL
Imposition Of Censures
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
NASD Sanction Guidelines
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
In July 1999
GUIDANCEIPO Distribution ManagerVoluntary Effective Date: March 23, 2004Mandatory Effective Date: April 16, 2004SUGGESTED ROUTINGKEY TOPICSCorporate FinancingInstitutionalLegal & ComplianceOperationsSenior ManagementSyndicateTrading & Market MakingTrainingFree-Riding and WithholdingIPO Distribution ManagerIPOsRetentionRule 2790Underwriting CommitmentExecutive SummaryTo coincide
Registered financial professionals, like many of us, move on to new job and career opportunities for a number of reasons. FINRA requires brokerage firms to deliver an educational communication to former customers who are contacted about transferring their assets when their financial professional changes from one broker-dealer to another.
SUGGESTED ROUTING
Senior Management
Government Securities
Internal Audit
Legal & Compliance
Executive Summary
The Department of the Treasury (Treasury) recently approved amendments under the Government Securities Act of 1986 (GSA) that establish risk assessment rules for government securities broker/dealers registered under Section 15C (Section 15C broker/dealers) of
Executive Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 1, 2021, to elect one Large Firm Governor, one Mid-Size Firm Governor, and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 2
INFORMATIONAL
OTC Equity Securities
Effective Date: October 30, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Trading
NASD Rule 2315
OTC Equity Securities
Executive Summary
On August 22, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2315, Recommendations to Customers in OTC Equity Securities (
