When you retire, you begin to take income from your defined benefit pension or defined contribution plan. You may also take income from a Social Security account. Learn about the payout options from each source and what each means for your personal situation.
SEC Approves Amendments to Rule 8210
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Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*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, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendment would revise, simplify, and add a
As part of FINRA’s mission to protect investors and promote market integrity, we are focused on addressing the regulatory challenges presented by our member firms’ crypto asset activities. Crypto assets—also known as digital assets—are assets that are issued or transferred using distributed ledger or blockchain technology. They include, but are not limited to, so-called virtual currencies, coins, and tokens. A particular crypto asset may or may not meet the definition of a “security” under the federal securities laws.
FINRA Recommends Review of Municipal Securities Activities
INFORMATIONAL
Comment Period Expires: September 6, 2002
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Senior Management
Money Laundering Compliance Programs
Executive Summary
On October 26, 2001, President Bush signed into law the USA PATRIOT
Behind every market transaction lies a wealth of data. But how can we harness this information? On this episode, members of the Market Regulation and Transparency Services team discuss periodic aggregate market data sets, including some new data recently added to FINRA's website, and how FINRA makes this information available to the public.
As the financial industry continues to evolve, it's important to stay ahead of emerging risks and trends. On this episode of FINRA Unscripted, we sit down with the leaders of FINRA's new Strategic Intelligence and Analytics team to discuss how they are working to identify and analyze these industry developments.
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The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc. or the surviving entity will continue to be a member of the New York Stock Exchange, Inc.;
(2) a direct or indirect
