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GUIDANCEDeletion of Obsolete RulesEffective Date: August 10, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementObsolete RulesRule 3400 SeriesExecutive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of an amendment to delete as obsolete IM-2210-4(b) (Certification of Membership) and Rule Series 3400 (
Updates from the March 2020 FINRA Board of Governors meeting.
A member firm may include related performance information in institutional communications concerning Section 3(c)(1) Funds, subject to the stated conditions discussed in the letter.
INFORMATIONAL
Fingerprint Processing Fees
Implementation Date: July 15, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Fingerprint Processing Fees
NASD By-Laws
Executive Summary
This Notice supersedes NASD Notice to Members 03-39. NASD is issuing this Notice to notify members that
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has decided to move forward with plans to develop an industry-wide program of continuing education and assessment for the securities personnel registered with the NASD. The Board
(a) Development
(1) Industry Member file submission and data integrity testing for Phases 2a and 2b shall begin in December 2019.
(2) Industry Member testing of the Reporter Portal, including data integrity error correction tools and data submissions, shall begin in February 2020.
(3) The Industry Member test environment shall open with intra-firm linkage validations to Industry Members for
TO: All NASD Members
There appears to be a growing practice among member firms to offer their retail customers a service whereby debit balances created by the purchase of securities in the customer's cash account with the member will be automatically satisfied by the redemption of shares of a money market fund. This practice is distinguishable from what have been called "account
Will I be able to log in to FINRA Gateway with my existing Firm Gateway credentials?
Yes, Firm Gateway users will be able to log in to FINRA Gateway using their existing Firm Gateway credentials.
Can I customize my experience in FINRA Gateway?
Yes. As of April 7, 2020, you can:
customize lists of registered individuals, branches, and related action items using the Reports feature, which was
Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also
For Your Information.