GUIDANCE
Transfers of Mutual Funds and Variable Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Broker-Dealer of Record
Customer Account Transfers
Mutual Funds
Negative Response Letters
Rule 2110
Variable Annuities
Executive Summary
In September 2002, NASD issued
Neutral Corner - February 2007
As Senior Vice President – Strategic Regulatory Engagement, Alex Ellenberg is responsible for providing guidance, counsel and analysis to the leadership team and various Market Regulation and Transparency Services (MRTS) groups regarding a wide variety of strategic, operational, regulatory, risk and compliance functions and activities. He also supports and provides strategic risk analysis to the
Simplified Arbitrations
The simplified arbitration rules apply to arbitrations involving $50,000 or less, exclusive of interest and expenses.
Expedited Proceedings for Seniors & Seriously Ill Parties
Dispute Resolution may expedite arbitration proceedings in matters involving seniors or seriously ill parties.
Expungement
Brokers may seek to have a reference to allegations or involvement
The Arbitrator's Guide provides arbitrators important information and access to the forms necessary to complete their assignments.This guide contains general information about FINRA, tips for contacting staff in the four regional offices by email and important information about an arbitrator's duties and obligations. The Arbitrator's Guide also contains resources to help you learn
(a) Dividends or Rights
A buyer of stock who has the certificate in its possession in time to enable it to effect transfer prior to the closing of the books or to the record date shall have no claim upon the seller (unless the seller is the registered holder) for the dividend or rights pertaining to such certificate, but the seller, upon request of the buyer, shall use its best efforts to
Regulatory Notice 13-10 announced the SEC’s approval, pursuant to FINRA Rule 4524, of the Derivatives and Other Off-Balance Sheet Items Schedule (OBS) as a supplement to the FOCUS report. At the time of its adoption, the OBS required all firms that carry customer accounts or self-clear or clear transactions for others (collectively, “carrying or clearing firms”) to file with FINRA the
The following persons associated with a member are not required to be registered with FINRA:(a) persons associated with a member whose functions are solely and exclusively clerical or ministerial; and(b) persons associated with a member whose functions are related solely and exclusively to:(1) effecting transactions on the floor of a national securities exchange and who are appropriately
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination, as outlined in a Technical Notice from December 10, 2015.
Summary
The COVID-19 pandemic is affecting most aspects of our society and daily lives, as well as the U.S. economy and markets. Events with such profound impact routinely create opportunities for financial fraud.
Firms and their associated persons should be aware of and take appropriate measures to address the increased risks and challenges presented during the COVID-19 pandemic. In addition
