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On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.
Good evening. Thank you, Terri [Polley], for that introduction.
It’s a pleasure to be here with you this evening to talk about our shared interests, one of which is ensuring investors have accurate and reliable financial information to better inform their decisions. I don’t need to tell you how inaccurate information—whether because of weak or inconsistent accounting standards, poor customer
SEC Approves Amendments to Transaction Reporting and Trading Activity Fee Rules Related to the Reporting of Asset-Backed Securities Transactions
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on
Summary
FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).
Questions concerning this Notice should be directed to:
Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
Blake Snyder, Senior Director, Member
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
On December 31, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rules 3010 and 3110. The amendments will allow
ACTION REQUIRED
SOES Order Sizes
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Systems
Trading
SOES Maximum Order Sizes
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
Effective January 10, 2000, the maximum
Remarks From the LIMRA/LOMA 2015 Regulatory Compliance Exchange