Displaying 131 - 140 of 1654 Results
Testimony by Vice Chairman Stephen Luparello Before the Subcommittee on Securities, Insurance, and Investment
(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
SUGGESTED ROUTINGSenior ManagementInternal AuditLegal & ComplianceRegistration Executive SummaryNational Association of Securities Dealers, Inc., (NASD®) rules require that members supervise each of their associated persons, regardless of their location, compensation arrangement, or registration status. This Notice addresses firm obligations to supervise associated persons located in
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) marked 2012 with significant accomplishments in detecting fraudulent activity, implementing cross-market surveillance, increased transparency of securities markets and fulfilling its regulatory mandate to protect investors, assessing $68 million in fines, ordering a record $34 million in restitution to harmed customers and taking measures to ensure market integrity.
Remarks from the Investment Program Association Fall Conference
FINRA Requests Comment on Proposed Amendments to Its Gifts, Gratuities and Non-Cash Compensation Rules
REQUEST FOR COMMENT
Rule Harmonization
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing Legal & Compliance
Registration
Senior Management
Branch Office
Initial Public Offering
Office of Supervisory Jurisdiction
RegistrationRule 2711 (Research Analysts and
Research Reports)Rule 3010 (Supervision)
Rule Harmonization
Supervision
Executive
This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
ACTION REQUESTED
Alternative Display Facility
SEC Comment Period Expires: January 21, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Alternative Display Facility
Executive Summary
On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule change filed by
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (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.