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
GUIDANCE
Net Trading Requirements
Effective Date: October 2, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Net Trading
Rule 2441
Executive Summary
On June 30, 2006, the Securities and Exchange Commission (SEC)
approved new NASD Rule 2441, Net Transactions with
Notice of Annual Meeting of FINRA Firms and Proxy
On this Page
Creating a New Deal
Deal Information
Restricted Period Notification
Trading Notification
IPOs
ATMs
All other transaction types
Notice of Intent
Deal Status Notification
Submitting Notifications
Subsequent Notifications for an Existing Deal
Unable to Locate a Deal?
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Creating a New Deal
The first step in submitting notifications for an
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Systems
Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
Unexpected Close
Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
(a) Application
This Rule shall apply exclusively (and in lieu of Rule 2341) to the activities of members in connection with variable contracts, to the extent such activities are subject to regulation under the federal securities laws.
(b) Definitions
(1) The term "purchase payment" as used throughout this Rule shall mean the consideration paid at the time of each purchase or
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Our compliance tools and resources come in many forms, including templates, checklists and guides. These optional tools may assist member firms with:Fulfilling their regulatory obligations;Implementing written supervisory procedures (WSPs); andTailoring their policies and procedures to reflect their size, business model and regulatory needs
(a) Application
This Rule shall apply exclusively (and in lieu of Rule 2341) to the activities of members in connection with variable contracts, to the extent such activities are subject to regulation under the federal securities laws.
(b) Definitions
(1) The term "purchase payment" as used throughout this Rule shall mean the consideration paid at the time of each purchase or
The file is produced in pipe-delimited format. Each file shall contain a header row that defines the field under each column, as well as an end-of-file trailer consisting of a date/time stamp and total record count (maximum of 10 numeric characters, right justified and zero filled). The filename identifies the date the trades were reported (YYYY-MM-DD).The file is produced in two versions: one
