REQUEST FOR COMMENT
Gifts and Business Entertainment
Comment Period Expires February 23, 2006
The comment period has been extended to March 3, 2006
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KEY TOPICS
Internal Audit
Institutional
Legal and Compliance
Retail
Senior Management
Training
Business Entertainment
Commercial Bribery
Gifts and Gratuities
Rule 3060
Executive Summary
NASD is proposing
WASHINGTON—The FINRA Investor Education Foundation (FINRA Foundation) has released a new report, The machines are coming (with personal finance information). Do we trust them?Despite the growing popularity of artificial intelligence (AI), very few consumers knowingly turn to AI for information on personal finances, according to the report.“As AI continues to be integrated into consumers’ everyday
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SilverLake Wealth Management, LLC33 Blair Park Rd STE 100 | Williston, VT 05495(802) 857-50 May 13, 2025May 13, 2025Ms. Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA1700 K StreetWashington, DC 20006Re: Request for Comment on Regulatory Notice25-05Dear Ms. Mitchell,I am an owner of a Registered Investment Advisory firm and a registered representative of an
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
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KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
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
The Securities and Exchange
Rule 17a-5 requires all member firms to file Schedule 1 of Form X-17A-5. This Schedule is a calendar year--end report filed by all registrants as a supplement to the regular fourth quarter FOCUS report. Schedule 1 requires the reporting of general information designed to measure certain economic and financial characteristics of the registrant. I believe this form is
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
By Greg Ruppert, Executive Vice President, Member Supervision, FINRA
As a self-regulatory organization, FINRA is uniquely positioned to engage with member firms to understand their business models and provide them with timely, actionable insights and information. As part of FINRA Forward, FINRA is working to enhance how we support member firm compliance to better protect investors and safeguard markets, including strengthening the constructive feedback loop from FINRA’s regulatory programs to our member firms. Sharing information gathered through our regulatory programs can help member firms improve the efficiency and effectiveness of their compliance capabilities, understand how their compliance programs compare to other firms, and potentially avoid issues that might otherwise develop into compliance failures.
