Effective Date: April 15, 1996
Executive Summary
The Securities and Exchange Commission (SEC) approved, effective February 9, 1996, an amendment to Schedule C of the NASD By-Laws that allows persons registered with Canadian securities regulatory organizations to qualify as general securities representatives by passing a modified General Securities Representative Examination (Series 7). The
Executive Summary
The purposes of this Notice are to remind members that significant disciplinary actions prompt reentry into the Regulatory Element of the Continuing Education Program; to advise members that, in late April 1996, the NASD will initiate reentry into the Regulatory Element for those members who were the subject of significant disciplinary actions between July 1, 1985, and June 30
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Board of Governors has approved changes to Schedule A of the NASD By-Laws affecting the Central Registration Depository (CRDSM) fee structure. The
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
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 Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Fluctuation of market indexes and stock prices is normal, with gains and losses occurring daily. This movement is called volatility; the greater the price swings, the higher the level of volatility. However, there are guardrails in place that help protect securities markets against periods of extreme volatility.
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
