FINRA In-Person Disclosure Reporting Boot Camp
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Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.
Last Voting Date: November 13, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to
An Asset-Backed Security (ABS) offers returns based on the repayment of debt owed by a pool of consumers. ABS data is collected through TRACE (Trade Reporting And Compliance Engine) and compiled with data from multiple sources, including but not limited to Refinitiv, S&P, Moody’s, and Black Knight Technologies.
Data field
Definition
Why we share this
The prevalence of cybersecurity incidents continues to increase at FINRA member firms. As a result of the continued proliferation of cybercrime, the Cyber and Analytics Unit (CAU) within FINRA’s Member Supervision program is issuing this advisory to highlight effective practices and considerations for member firms when responding to cyber incidents, including the benefits of voluntarily reporting information related to the incident to various entities.
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On November 3, 1998, the
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved new Schedule H to the
SEC Approves Extension to IM-10100 Pilot
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Registered Representatives Registered Principals Senior Management
Arbitration Associated Persons California Disclosure Standards Members
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved an extension to a
Summary
The purpose of this Election Notice is to notify members of an upcoming election to fill one large firm and one mid-size firm seat on the National Adjudicatory Council (NAC), and to announce the FINRA Nominating & Governance Committee (Nominating Committee) nominees for these vacancies. Eligible individuals not nominated by the Nominating Committee who obtain the requisite number
Trading an option contract with zero days to expiration is a that strategy has become more common as expirations in certain options have expanded to practically every day of the week. But selling and buying options with zero days to expiration can be risky.
I M P O R T A N T
Officers * Partners * Proprietors
TO: Members of the National Association of Securities Dealers, Inc. and Other Interested Persons
COMMENT PERIOD CLOSES ON: January 20, 1984
The National Association of Securities Dealers, Inc. ("Association") is publishing for comment a proposed amendment to Schedule C to the By-Laws. The amendment was approved by the Board of
