Exemptive relief is granted based on: the representations that the contributions were made prior to employment; the individual did not engage in the solicitation of, or have involvement in, municipal securities business (as defined) for the prior six years; the firm had no knowledge of the contributions at the time they were made; the firm has established detailed and comprehensive compliance procedures and has developed information barriers surrounding the solicitation of certain municipal securities business.
Reporting of Information Relating to OTC Trades in NMS Stocks
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
INFORMATIONAL
Non-Conventional Investments
SUGGESTED ROUTING
KEY TOPICS
Legal/Compliance
Retail
Senior Management
Internal Audit
Advertising and Sales Literature
Due Diligence
Non-Conventional Investments
Suitability
Executive Summary
In the aftermath of the recent downturn in the equity markets, NASD reviewed the
INFORMATIONAL
Certificates of Deposit
Effective Date: October 8, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Trading
Operations
Senior Management
Certificates of Deposit
Executive Summary
NASD is issuing this Notice to supersede NASD Notice to Members 02-28 (Notice or Notice 02-28) and replace the guidance offered in Notice to
Regulation Form Filing: New Firm Contacts Screen
FINRA Provides Guidance on Amendments to FINRA Rules Relating to SEC Regulation M
Annual Audit; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Summary
The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 26, 2021 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
