A Changing Industry – A Changing FINRA
Good morning, and thank you Chip [Jones, FINRA’s Head of Member Relations and Education]. We all owe a debt of gratitude to Chip and his fantastic team for once again organizing an excellent conference, including more than 50 expert panel discussions that will help us better protect and serve investors.
I look forward to the honor of welcoming our keynote
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundOperations*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III. Section 15 of the NASD Rules of Fair Practice that would permit members to use negative-response letters in bulk exchanges of
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
On This Page:
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(7)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
A member must submit a letter requesting a materiality consultation for specified changes in ownership, control, or business operations,
INFORMATIONAL
Predispute Arbitration Agreements
Effective Date: June 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration
Code of Arbitration Procedure
Executive Summary
On April 6, 2001, the Securities and Exchange Commission (SEC or Commission) approved an amendment to National Association of
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Continuing Education Regulatory Element Notifications And Reports
Inactive
I am Richard Ketchum, Chairman and CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
