The Series 3 exam—the National Commodities Futures Examination—is a National Futures Association (NFA) exam administered by FINRA.
Updated as of January 30, 2025FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes. These retrospective reviews look at
Executive Summary
The transition of the current NASD PROCTOR® Certification and Training Centers into the Sylvan Network is on schedule. Authorized Sylvan Technology Centers will begin computerized delivery of Qualifications Examinations and the Continuing Education Program's computer-based training (CBT) in mid-November 1996. Questions regarding locations available for computerized
The Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program highlights recent cybersecurity risks at third-party providers (commonly referred to as third-party vendors) impacting member firms.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Executive Summary
The NASD has filed with the Securities and Exchange Commission (SEC) a proposal to amend Article III, Sections 26 and 29 of the NASD Rules of Fair Practice to revise existing rules applicable to the sale of investment company securities and establish new
(a) Members are required to report transactions (other than transactions executed on or through an exchange) in OTC Equity Securities, including secondary market transactions in non-exchange-listed Direct Participation Program securities, and Restricted Equity Securities to the OTC Reporting Facility in compliance with the Rule 6600 and 7300 Series, as well as all other applicable rules and
(a) Designation of Chief Compliance Officer(s)
Each member shall designate and specifically identify to FINRA on Schedule A of Form BD one or more principals to serve as a chief compliance officer.
(b) Annual Certification Requirement
Each member shall have its chief executive officer(s) (or equivalent officer(s)) certify annually,1 as set forth in paragraph (c), that the member
During your first week at a new job, you typically focus on the basics – locating your office, setting up your computer and getting acquainted with new colleagues and acronyms. If you're Greg Ruppert, who joined FINRA on March 23, 2020 as the new Executive Vice President, National Fraud and Financial Crimes Detection Programs (NCFC), you mark your first week by establishing FINRA's
INFORMATIONAL
Variable Contracts
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Insurance
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Variable Contracts
Suitability
Supervision
Variable Contracts
Executive Summary
Due to the growth in sales and the popularity of variable life insurance products, NASD
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Appendix F under
