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 member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
The following checklist helps identify the basic requirements for members under the new and amended recordkeeping requirements to the SEC broker/dealer books and records rules.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 21, 1988, the following 14 issues are scheduled to join the NASDAQ National Market System (NASDAQ/NMS), bringing the total number of issues in NASDAQ/NMS to 2,954:
Symbol*
Company
Location
SOES
Frequently asked questions about FINRA BrokerCheck, a free tool for researching brokers, brokerage firms, investment advisers & investment adviser firms.
<p>FINRA Rules 7410-7470 (OATS)</p>
As of January 19, 1996, the following 35 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,984:
Symbol
Company
Entry Date
SOES Execution Level
ESTR
ElectroStar, Inc.
12/21/95
200
FRAG
French Fragrances, Inc.
12/21/95
200
HOMEF
Home Centers (DIY),
Limited (Ord Shs)
12/21/95
500
RGNT
Regent Assisted
SEC Approves Amendments to the Codes of Arbitration Procedure to Increase the Fees Assessed for Late Cancellation or Postponement of a Hearing
Supervisory activities requiring registration as an Equity Trader.<br/>
A broker-deal firm’s anti-money laundering efforts may overlap with any number of other regulatory concerns. On this episode, the second in a two-part series, we’re looking at how AML may overlap with a firm’s efforts to protect senior investors from exploitation and fraud.
Business Continuity Plans
Action Requested By: May 13, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Institutional
Internal Audit
Legal & Compliance
Operations
Registration
Senior Management
Systems
Business Continuity
Disaster Recovery
Emergency Preparedness
Executive Summary
The NASD is seeking comment from NASD members, investors, and other
