Displaying 971 - 980 of 1256 Results
Testimony on Banking, Housing, and Urban Affairs
Hearing to Review Current Investigations and Regulatory Actions Regarding the Mutual Fund Industry: The Regulatory Landscape
SEA Rule 15c3-3 and Related Interpretations
/**/ Publication Date: March 20, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3 Customer protection — reserves and custody of securities.Except where otherwise noted, § 240.15c3-3 applies to a broker or dealer registered under section 15(b) of the Act (15 U.S.C. 78o(b)), including a broker or dealer also registered as a security-
Notice to Members 06-16
New Member Applications SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management New Member Applications Rule 1013 Rule 1014(a) Standardized Application Form Executive Summary NASD is issuing this Notice to inform
Report of the Customer Account Transfer Task Force
In response to numerous customer complaints and industry frustration about delays in the transfer of securities accounts from one brokerage firm to another, NASD established the Customer Account Transfer Task Force (Task Force) to consider ways to improve the process of inter-firm customer account transfers. This Report presents the results of the Task Force's deliberations.
FINRA Rule 2111 (Suitability) FAQ
The following frequently asked questions (FAQs) provide guidance on FINRA Rule 2111 (Suitability). This document consolidates the questions and answers in Regulatory Notices 12-55, 12-25 and 11-25, organized by topic.
Testimony Before the Finance and Hazardous Materials Subcommittee of the Commerce Committee
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
Regulatory Notice 08-57
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
2013 Regulatory and Examination Priorities Letter
Cover Letter from FINRA Chairman and CEO, Rick Ketchum January 11, 2013 Today, FINRA published its eighth annual 2013 Regulatory and Examination Priorities Letter to highlight the key issues that are significant to our regulatory programs. This letter is an important part of our work to support your efforts to regularly update your compliance capability. It is my
Regulatory Notice 10-03
FINRA Requests Comments on Proposed Consolidated FINRA Rules Governing Securities Loans and Borrowings, Permissible Use of Customers' Securities and Callable Securities
Notice to Members 02-45
Alternative Display Facility SUGGESTED ROUTING KEY TOPICS Senior Management Legal & Compliance Operations Trading Market Making Executive Summary On July 24, 2002, the Securities and Exchange Commission (SEC)