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Guidance for Applications for an Expansion of Representatives
OverviewThis Guidance is to assist applicants prepare Form CMA (Continuing Membership Application), when seeking approval of an increase in associated persons involved in sales, as defined in IM-1011-1. (See Standard 1 for further detail.) Specified parts of Form CMA are marked with an asterisk (*) to designate the information or documentation that must be submitted with the application. One
Joint SEC/NASD Report on Examination Findings Regarding Broker-Dealer Sales of Variable Insurance Products
Variable annuity and variable life insurance products (collectively, “variable insurance products" or “variable products”) are being marketed and sold to a large number of investors. While variable insurance products may be appropriate investments for some investors, concerns have been raised about the sale of these products. This prompted the staffs of the Securities and Exchange Commission
FINRA’s High-Risk Representative Program: Keeping an Eye on Individuals Posing a Heightened Risk of Misconduct
Protecting investors from harm is a top FINRA priority. And when it comes to specific individuals who may pose a risk, FINRA's High Risk Representative Program is on the case, identifying and monitoring individuals who pose an elevated risk of misconduct to protect investors and maintain the integrity of the market.
Regulatory Notice 08-50
08-50 - Procedures for Submitting Written Attestation of Bona Fide Market Making Relating to Fail-to-Deliver Positions
Notice to Members 04-39
GUIDANCE Corporate Debt Securities Effective Date: June 17, 2004 SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Debt Securities Operations Rule 6200 Series TRACE Rules Transaction Reporting Executive Summary
Notice To Members 95-55
SUGGESTED ROUTING Senior Management Corporate Finance Legal & Compliance Operations Syndicate Executive Summary On June 1, 1995, the Securities and Exchange Commission (SEC) approved amendments to Part II, Section 1(c) of Schedule D to the NASD By-Laws and Section 11 of the NASD's Uniform Practice Code.1 The amendments require that for a domestic security2 to be
Treasury Securities
This data provides comprehensive information on individual transactions in Treasury on-the-run nominal coupons on an end-of-day basis for Treasury securities that traded within the past 10 years starting March 25, 2024. Learn more about Treasury securities and other bond types.Fixed Income Data is compiled from multiple sources, including but not limited to TRACE, Refinitiv, S&P
Members of the Task Force on Private Placement Brokers of the American Bar Association’s Business Law Section Comment On Regulatory Notice 25-06
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Notice to Members 99-105
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Trade Date-Settlement Date Schedule The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context
Notice to Members 02-63
INFORMATIONAL Regulatory Fees Implementation Date: October 1, 2002 SUGGESTED ROUTING KEY TOPICS Compliance Legal Senior Management NASD By-Laws Regulatory Fee Executive Summary As announced in Notice to Members 02-41, NASD has amended Section 8 of Schedule A to the NASD By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee