Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for nine months, to April 26, 2006, the operation of NASD's Alternative Display Facility ("ADF") on a pilot basis. The ADF pilot program, as approved by the SEC on July 24, 2002, and extended on April 17, 2003, January 26, 2004, and
The Cybersecurity section of the 2017 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.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 2212 to require a member that seeks to qualify for the safe harbor set forth in Rule 2212 to, among other things, use a process to prevent telephone solicitations to any telephone number in a version of the national do-not-call registry obtained from the administrator of the registry no more than thirty-one (31) days prior to
Proposed Rule Change Relating to Section 3 of Schedule A to the NASD By-Laws; Filed for Immediate Effectiveness
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
NASD has filed with the SEC a proposed rule change to adopt Rule 2130 governing the expungement of customer dispute information from the Central Registration Depository (CRD® or CRD system) and various internal guidelines to be adopted by NASD regarding the handling of requests to expunge customer dispute information from the CRD system.
Private Placements and Public Offerings Subject to a Contingency
Guidance on Rules Governing Communications With the Public
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Continuing Education Regulatory Element Notifications And Reports
Inactive
