Displaying 1031 - 1040 of 1859 Results
April 2003
In an 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 the Department of Member Regulation's routine examinations of firms. While each firm must
From cryptocurrency to NFTs and other options beyond your 401(k), choosing the right investments to meet your financial goals can feel overwhelming.
The Senior Investor Protection Conference is a one-day event dedicated to sharing the most up-to-date regulatory information, effective strategies and solutions for protecting senior and vulnerable investors from exploitation, scams, and other questionable practices. This conference includes discussions of the rules on financial exploitation of specified adults, a regulatory roundtable,
(a) General
Industry Members are required to record and report data to the Central Repository as required by this Rule Series in a manner that ensures the timeliness, accuracy, integrity and completeness of such data.
(b) LEIs
Without limiting the requirement set forth in paragraph (a), Industry Members are required to accurately provide the LEIs in their records as required by
FINRA issued Regulatory Notice 15-37 requesting comment on proposed rules addressing the financial exploitation of seniors and other vulnerable adults.
Various updates.
FINRA President and CEO Robert Cook, Chairman Bill Heyman, Board members and FINRA staff provide updates on the May 2018 FINRA Board of Governors meeting.
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
Charter of the Audit Committee of the Board of Governors of Financial Industry Regulatory Authority, Inc. (“FINRA”)
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Trading
Registered Representatives
Senior Management
Trading Activity Fee
NASDAQ Exchange Registration
Executive Summary
On July 5, 2006, The NASDAQ Stock Market, Inc. ("NASDAQ")
announced that it would begin to operate as a national securities
exchange on August 1, 2006 for NASDAQ-listed