Sec. 3. The Board may employ or authorize the employment and prescribe the powers and duties of such agents and employees as it deems necessary or advisable. The employment and compensation of such agents and employees shall be at the pleasure of the Board, provided that such determinations are not inconsistent with the requirements of the Delegation Plan. Except as provided in Article
The use of negative response letters to change the broker-dealer of record on a mutual fund or variable insurance product account held directly at the issuer.
(a) No member shall permit a customer to engage in extended hours trading unless the member has furnished to the customer, individually, in paper or electronic form, a disclosure statement highlighting the risks specific to extended hours trading. In addition, any member that permits customers either to open accounts on-line in which such customer may engage in extended hours trading or to
Pursuant to Section 17(f)(2) of the Securities Exchange Act of 1934, (15 USC 78q(f)(2)), and Exchange Rule 17f-2 thereunder, as amended, the SEC requires Funding Portal organizations applying for FINRA membership to submit fingerprints for all partners, directors, officers or employees, unless they are exempt under those same provisions.As part of the FINRA membership application process, a
Blue Sheet Data
Electronic Blue Sheet (EBS) data files, which contain both trading and account holder information, provide regulatory agencies with the ability to analyze a firm’s trading activity. Firms are expected to provide complete, accurate and timely Blue Sheet data in response to regulatory requests. Incomplete, inaccurate and untimely Blue Sheet data compromises regulators’ ability to
FINRA released a new edition of the OATS Reporting Technical Specifications dated November 19, 2007. This edition consolidates the August 6, 2007 edition with its two addendums.
TRACE Data Delivery Plus Fee
FINRA assesses the TRACE Data Delivery Plus service fee per each MPID that the firm enrolls in the service. The firm's monthly fee is based on:
the average number of transactions the MPID was a party to* per month over the prior calendar year, which is used to categorize the MPID in one of 4 tiers, and
the number of "Plus" reports (reports for
Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
Sec. 8.16 The Independent Agent shall declare a ballot invalid if one or more of the following conditions exist:
(a) the ballot is not signed by the Executive Representative (unless Section 8.15 applies);
(b) a vote is not indicated on the ballot; or
(c) the ballot indicates votes for more than one candidate per position subject to election.
Amended by SR-FINRA-2011-011
Comment Period Expires: September 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Executive Summary
Under the current interpretation governing the Public Disclosure Program, information on all felony offenses is disclosed indefinitely. NASD Regulation, Inc. (NASD Regulation) requests comment from members and
