The 2017 Compliance Outreach Program for Municipal Advisors is designed for municipal advisor industry professionals. The focus of the program is to promote strong compliance practices for the protection of investors. FINRA is partnering with the SEC and the MSRB to sponsor the program. Topics of discussion will focus on the duties and standards of conduct for non-solicitor municipal advisors
The Financial Industry Regulatory Authority ("FINRA") (f/k/a the National Association of Securities Dealers, Inc. ("NASD")) is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Discovery Guide to update the Document Production Lists.
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Executive Summary
On May 25, 1995, the Securities and Exchange Commission (SEC) approved an amendment to the Uniform Practice Code (UPC) adding new Section 72 requiring a member or its agent who is a participant in a registered clearing agency to use the facilities of such registered
Proposed Rule Change to Amend FINRA Rule 6700 Series (Trade Reporting and Compliance Engine)
A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
Proposed Rule Change to Amend FINRA Rule 4560 (Short-Interest Reporting)
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of September 25, 1991, the following 29 issues joined Nasdaq/NMS, bringing the total number of issues to 2,611:
Symbol
Company
Entry Date
SOES Execution Level
VANS
Vans, Inc.
8/23/91
1000
EZPW
EZCORP, Inc. (Cl A)
8/27/91
1000
MGICF
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has decided to move forward with plans to develop an industry-wide program of continuing education and assessment for the securities personnel registered with the NASD. The Board
Proposed Rule Change Relating to the Trading Activity Fee Rate for Transactions in Asset-Backed Securities
