This follow-up to the September 2021 targeted exam (sweep) of firms’ practices related to their acquisition of customers through social media channels and their sharing of customers’ usage information with affiliates and non-affiliated third parties summarizes selected practices FINRA has observed firms implement to this point in the sweep.
Arbitration cases decided by award in the forum operated by FINRA represent a small subset of all cases closed involving customer disputes. The vast majority of customer cases close by settlement – not award.
The FINRA Board of Governors will consider the following rulemaking items at its July 2013 meeting.
The access and use of any information submission functions, content, materials, or services available on the Maintaining Qualifications Program (“MQP”) is conditioned upon the acceptance by you, without modification, of these terms of use, and the terms and conditions displayed at https://www.finra.org/terms-of-use are incorporated herein by reference (collectively, "Terms of Use").
TO: All NASD Members and Other Interested Persons
ATTN: REGISTRATION, TRAINING AND COMPLIANCE PERSONNEL AND BRANCH OFFICE MANAGERS
The recently enacted Tax Reform Act of 1986 (the "Act") will impact the subject matter of the qualification examinations administered by the NASD. Existing test items affected by these changes will be modified to reflect the new provisions of the Act on
Executive Summary
The purpose of this Notice is to advise members of the Regional Nominating Committee Nominees for the 1999 National Adjudicatory Council (NAC). Pursuant to nomination procedures outlined in Special Notice to Members 98-62, nominees for NAC are presented to the membership. If an officer, director, or employee of a National Association of Securities Dealers, Inc. (NASD®) member
TO: All NASD Members and Interested Persons
ATTN: Compliance and Registration Personel
This notice reviews the application of certain qualification and registration requirements of Schedule C of the NASD By-Laws for persons who solicit new accounts on behalf of members. It also announces the Securities and Exchange Commission's approval of an amendment to Schedule C, which expands the
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 32 issues joining the NASDAQ/National Market System on Tuesday, September 18, 1984, there will be 1,078 securities trading under real-time trade reporting. These 32 issues meet the SEC's voluntary designation criteria.
The 32 securities scheduled to be phased into NASDAQ/NMS on September 18 are
August 2021
FINRA is conducting a review of Firm Name practices and controls related to the opening of options accounts and related areas, including account supervision, communications and diligence.
The requests below pertain to both self-directed accounts and accounts in which registered representatives recommended options but excludes both institutional1 and managed
NASD Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Disciplinary Proceedings
Sanctions
Settlements
Executive Summary
The National Adjudicatory Council (NAC) has revised the National Association of Securities Dealers, Inc. (NASD®) Sanction Guidelines (Guidelines). The
