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6895. Compliance Dates
(a) General Except as set forth in paragraphs (b) and (c) of this Rule or otherwise set forth in this Rule Series, the compliance date for this Rule Series is the date of Commission approval. (b) Clock Synchronization (1) Each Industry Member shall comply with Rule 6820 with regard to Business Clocks that capture time in milliseconds commencing on or before March 15, 2017. (2) Each Industry
FINRA Rules
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Notice to Members 04-91
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing Rule–Underwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710 (Corporate FinancingRule–Underwriting Terms and Arrangements)Schedule A to
Notice to Members 04-22
GUIDANCEContinuing Education RulesSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsSenior ManagementContinuing EducationRule 1120Executive SummaryOn February 13, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central
Crowdfunding Offerings: Broker-Dealer and Funding Portals
The Crowdfunding Offerings: Broker-Dealers and Funding Portals topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Notice to Members FYI May 1998
For Your Information
ARTICLE I DEFINITIONS
When used in these By-Laws, unless the context otherwise requires, the term: (a) "Act" means the Securities Exchange Act of 1934, as amended; (b) "bank" means (1) a banking institution organized under the laws of the United States, (2) a member bank of the Federal Reserve System, (3) any other banking institution, whether incorporated or not, doing business under the laws of
Standards for Admission
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
Notice to Members 03-14
INFORMATIONAL Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT Implementation Date: March 24, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Registered Representatives Registration Senior Management Training Web EFT Executive Summary NASD announces the implementation of Web EFT, a new, secure Web-
Indemnification of Directors, Officers, Employees, Agents, and Committee Members
Sec. 7.1  (a) FINRA Dispute Resolution shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Dispute Resolution or a committee member, or