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FINRA Reminds Firms of Their Responsibilities Under FINRA Rule 2330 for Recommended Purchases or Exchanges of Deferred Variable Annuities
Each year, FINRA hosts its Annual Conference in Washington, D.C. packed full of panels with information on all the latest compliance trends and emerging regulatory issues. On this episode, we're taking you behind the scenes of this year's Annual Conference to listen in on a conversation between FINRA President and CEO Robert Cook and the Chair of the FINRA Board of Governors, Eric Noll.
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Table of Contents
Firm Distribution by Size
Securities Industry Registered Firms by Type of Registration
Firm Distribution by Number of Branches
Firm Distribution
Firm Distribution by Number of Registered Representatives: Additional Breakdown
10-Year Change in Number of FINRA-Registered Firms
Urban-Rural Breakdown of FINRA-Registered Firms and Branches
FINRA-Registered Firms –
(a) FINRA Filing Requirements
(1) As set forth in paragraph (c)(2) of Rule 2210, a member must submit all retail communications concerning security futures to FINRA's Advertising Regulation Department at least 10 business days prior to first use.
(2) The requirements of this paragraph (a) shall not be applicable to:
(A) retail communications concerning security futures
(a) Definitions
(1) For purposes of this Rule, the term “Specified Adult” shall mean: (A) a natural person age 65 and older; or (B) a natural person age 18 and older who the member reasonably believes has a mental or physical impairment that renders the individual unable to protect his or her own interests.
(2) For purposes of this Rule, the term “Account” shall mean any account of a member for