Notice of Annual Meeting of FINRA Firms and Proxy
Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
Mr. Chairman and Members of the Committee: NASD is grateful to the Committee for inviting us to testify about NASD's work to protect senior investors and for allowing us to submit this statement for the record.
Teaching kids about financial concepts and prudent decision-making can help them become financially proficient adults and deserves a spot alongside early learning basics. Learn four tips to help build their foundation for financial fluency.
There is no higher priority for FINRA than protecting senior investors from financial exploitation. Thus, every year we bring dozens of enforcement actions against brokers who harm senior investors, either through fraud schemes, conversion, churning of accounts, or otherwise. In this post, I want to highlight one pattern we have seen with increasing frequency in which certain brokers have
INFORMATIONAL
Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Rule 2260
IM-2260
Debt Securities
Operations
Forwarding of Communications
Executive Summary
On April 11, 2002, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 22601 that require a broker/dealer to make reasonable
SummaryAn efficient capital raising process fosters business expansion, job creation and economic growth. FINRA members play an important role in facilitating capital formation for businesses of all sizes. FINRA promotes the capital raising process through appropriately tailored rules for its members that are designed to promote transparency and to establish important standards of conduct for the
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360, its comprehensive review of its operations. In response to the Special Notice, FINRA received a number of comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms. After
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
