Proposed Rule Change Relating to Capacity Management Plan
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Proposed Rule Change to Establish a Registration Category, Qualification Examination and Continuing Education Requirements for Certain Operations Personnel, and Adopt FINRA Rule 1250 (Continuing Education Requirements) in the Consolidated FINRA Rulebook
Proposed Rule Change to Adopt FINRA Rule 4530 (Reporting Requirements) in the Consolidated FINRA Rulebook
Proposed Rule Change to Extend a TRACE Pilot Program
FINRA and ISG Announce Extension of Effective Date for Certain Electronic Blue Sheet Data Elements and Updates to Certain Requestor and Exchange Codes
The Series 99 exam — the Operations Professional Exam — assesses the competency of an entry-level registered representative to perform their job as an operations professional.
Proposed Rule Change to Amend Online Form NMA, the Standardized Membership Application Form Applicants Must File Pursuant to NASD Rule 1013 (New Member Application and Interview)
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceOperationsTrading
Executive Summary
On September 20, 1994, the Securities and Exchange Commission approved a proposed rule change by the NASD that amends the listing requirements in Parts II and III of Schedule D to the NASD By-Laws to impose specific delisting requirements for units listed on the Nasdaq National Market® and The
Comment Period Expires October 1, 1994
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The North American Securities Administrators Association (NASAA) has published form revisions in draft format for public comment in the September 1994 edition of the Commerce Clearing House (CCH) NASAA Reports. The comment period expires October 1,
