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Notice To Members 93-72
SUGGESTED ROUTING Senior ManagementInternal AuditLegal & ComplianceOperations Executive Summary The Securities and Exchange Commission (SEC) recently approved changes to Rule 17a-11 that eliminate certain burdensome filing requirements. The requirements to give notice basically are unchanged. These amendments are the first major revisions to the rule in more than 20 years,
Notice to Members 01-70
INFORMATIONAL Member Surcharges And Process Fees In Arbitrations SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Senior Management Arbitration Fees Code of Arbitration Procedure Executive Summary The Securities and Exchange Commission (SEC or Commission) has approved increases to the member surcharges and process fees paid by member
Regulatory Notice 22-07
Summary In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
Notice to Members 99-22
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
Regulatory Notice 17-11
Financial Exploitation of Seniors Regulatory Notice Notice Type Rule Amendment and New Rule Referenced Rules & Notices FINRA Rule 2010 FINRA Rule 2140 FINRA Rule 2150 FINRA Rule 2165 FINRA Rule 3310 FINRA Rule 4521 FINRA Rule 11870 Regulation S-P SEA Rule 17a-
Regulatory Notice 21-43
Summary In August 2019, FINRA launched a retrospective review that, among other things, sought stakeholders’ input on the effectiveness of Rule 3240 (Borrowing from or Lending to Customers).1 Based on feedback received during the review, FINRA is proposing amendments to Rule 3240 to: emphasize that the rule generally prohibits registered persons from entering into borrowing or
Remarks from FINRA Fixed Income Conference
Remarks From FINRA Fixed Income Conference
Notice to Members 98-75
SUGGESTED ROUTING Senior Management Legal & Compliance Mutual Fund Registered Representatives Training Variable Contracts Executive Summary On July 15, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rules 2820 (Variable Contracts Rule) and 2830 (Investment Company Rule) that
General Information on Statutory Disqualification and FINRA’s Eligibility Proceedings
Rules and procedures applicable to members seeking to hire or retain a person who becomes "subject to disqualification," and for members that themselves become subject to disqualification
Remarks at the NAVA Conference
Thank you for that kind introduction. It's a pleasure to be here with you this morning. Two weeks ago, I had the opportunity to speak at the Museum of Financial History.