Displaying 151 - 160 of 1648 Results
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
INFORMATIONAL
Conduct Of Business Abroad
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Business Abroad
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) is issuing this Notice to Members as part of its continuing effort to provide members with guidance on complying with rules that govern their business
FINRA Reminds Firms of Their Obligations to Determine Whether Securities are Eligible for Public Sale
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Trading
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
FINRA Requests Comment on a Proposal to Amend Rule 3110 (Supervision) to Provide Firms the Option to Conduct Remote Inspections of Offices and Locations That Meet Specified Criteria
May 2006
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to NASD's routine examinations of firms. While each firm must establish its own compliance
Communications with the PublicReg BI and Form CRSPrivate PlacementsVariable AnnuitiesPrevious:Crowdfunding Offerings: Broker-Dealer and Funding PortalsUp:Communications and SalesNext:Communications with the Public
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:Funding Portals and Crowdfunding Offerings
Up:Communications and Sales
Next:Reg BI and Form CRS
Reg BI and Form CRS
Communications with the Public
Private Placements
Variable Annuities
Previous:Funding Portals and Crowdfunding Offerings
Up:Communications and Sales
Next:Reg BI and Form CRS