Suggested Routing
Senior Management
Legal & Compliance
Registration
Executive Summary
Effective December 1, 1996, the Central Registration Depository (CRD) will send an individual Continuing Education Program Advisory Message for both Regulatory Element Directed Sequences (see Exhibit 1) and Regulatory Element Directed Sessions (see Exhibit 2) to notify member firms of
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, July 4, 1983, in observance of Independence Day. "Regular-Way" transactions made on the business days preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way"
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, May 30, 1983, in observance of Memorial Day. "Regular-Way" transactions made on the business day preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way"
SEC Approves Amendments to FINRA Dispute Resolution, Inc. By-Laws to Classify Mediators as Public Members if They Are Not Otherwise Disqualified From Being Classified as Public Members
Guidance to Members Affected by Hurricane Sandy
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests public comment concerning the potential benefits to investors of allowing the
Report Reflects New and Evolving Risks, Industry Trends, and Noteworthy Findings
WASHINGTON—FINRA published today its 2023 Report on FINRA’s Examination and Risk Monitoring Program to provide member firms with key insights and observations to use in strengthening their compliance programs.
The comprehensive report from FINRA’s regulatory operations covers 24 topics — including four new topics
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
Comment Period Expires: August 28, 1995
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers.
