Notice of Annual Meeting of FINRA Firms and Proxy
(a) Responsibility to Expedite Customer's Request
(1) When a customer whose securities account is carried by a member (the "carrying member") wishes to transfer securities account assets, in whole or in specifically designated part, to another member (the "receiving member") and gives authorized instructions to the receiving member, both members must expedite
FINRA Reminds Firms of Their Sales Practice Obligations Relating to Principal-Protected Notes
On Monday, July 18, 2016, FINRA will implement changes and enhancements to TRACE trade reporting and dissemination.
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008
GUIDANCE
Equity-Indexed Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
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Equity-Indexed Annuities
Rule 3030 (Outside Business Activities
of an Associated Person)
Rule 3040 (Private
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Executive Summary
The National Association
FINRA Requests Comment on FINRA Rules Impacting Capital Formation
TO: All NASD Members and Other Interested Persons
ATTN: REGISTRATION, TRAINING AND COMPLIANCE PERSONNEL AND BRANCH OFFICE MANAGERS
The recently enacted Tax Reform Act of 1986 (the "Act") will impact the subject matter of the qualification examinations administered by the NASD. Existing test items affected by these changes will be modified to reflect the new provisions of the Act on
SEC Approves Amendments to Modernize and Simplify NASD Rule 2720 Relating to Public Offerings in Which a Member Firm With a Conflict of Interest Participates
