The first Annual Meeting of the Financial Industry Regulatory Authority (FINRA) members will be October 26, 2007.
The formal notice of the meeting, including the time and location, will be mailed on or about September 21, 2007. The individuals nominated by the former NASD Board of Governors and/or the Board of Directors of NYSE Group, Inc. for election to the FINRA Board of Governors (FINRA
If your firm (or other departments or divisions of your firm) is already an Equifax member then your firm only needs to complete an Equifax Membership Addendum and follow the Equifax Existing Member Account Set Up Process. There are no additional Equifax membership fees if your firm is already an Equifax member.
If you are an NASD member firm that wants to create a new Equifax Member
February 1, 2001The first quarter 2001 software release for OATS contains two enhancements that will significantly affect NASD member firms, service bureaus, and clearing firms.The first enhancement is to empower member firms with the ability to control who submits order data on their behalf. OATS will give member firms the ability to set up reporting relationships with their Order Sending
GUIDANCE
Mutual Fund Performance Sales Material
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Investment Companies
Legal & Compliance
Mutual Funds
Registered Representatives
Senior Management
Mutual Fund Performance Advertising
Fees and Expenses
Rule 2210
Rule 2211
Executive Summary
On July 5, 2006, the Securities and Exchange Commission (SEC)
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA
As announced by the Board of Governors of the Federal Reserve System in the Federal Register on October 28, 2021, FINRA will collect detailed data on depository institutions’ daily transactions of marketable U.S. Treasury securities and of the debt and MBS issued by U.S. federal government agencies including government-sponsored enterprises (agencies) via its Trade Reporting and Compliance Engine
GUIDANCE
OATS Reporting Requirements
Effective Date: May 8, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
OATS
Rules 69506957
Executive Summary
On September 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to Rules 6950 through 6957
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
INFORMATIONAL
OTC Bulletin Board
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Trading & Market Making
OTC Bulletin Board
Eligibility Rule
The Suggested Routing function is meant to aid the reader of this
