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(a) Notice of Suspension of Member, Person Associated with a Member or Person Subject to FINRA's Jurisdiction if Corrective Action is Not Taken
If a member, person associated with a member or person subject to FINRA's jurisdiction fails to provide any information, report, material, data, or testimony requested or required to be filed pursuant to the FINRA By-Laws or FINRA rules,
TO: All NASD Members and Level 2 and Level 3 Subscribers
With the 40 issues joining NASDAQ's National Market System on Tuesday, August 14, there will be over 1,053 issues trading under real-time trading reporting. These 40 issues meet the SEC's voluntary designation criteria.
The securities scheduled to join NMS on Tuesday, August 14, are:
SYMBOL
COMPANY
LOCATION
ACHV
Archive
Staff Relocations
Over the next several months, some NASD Regulation, Inc. (NASD RegulationSM) and National Association of Securities Dealers, Inc. (NASD®) staff will be moving from Washington, D.C. to a new location in Rockville, Maryland. The move will be conducted in a staggered fashion beginning early July, with completion expected in the fall of this year. This relocation plan affects over
GUIDANCEMunicipal SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceExecutive RepresentativesLegal and ComplianceMunicipal SecuritiesOperationsRegistered RepresentativesSenior ManagementTechnologyTrading and Market MakingTrainingMSRB Rules G-12(f) and G-14Municipal SecuritiesOperationsSupervisionTrainingTransaction ReportingExecutive SummaryNASD is issuing this Notice to Members to remind
How can your firm effectively supervise high-risk activities and individuals, and how has Reg BI and the remote work environment impacted supervision in this area? What heightened monitoring should your firm conduct with respect to high-risk activities and individuals? Attend this session to hear FINRA staff and industry practitioners discuss practical examples of high-risk conduct and supervisory practices.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistrationTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective February 6, 1989, members may obtain disciplinary information on prospective employees either through the Firm Access Query System (FAQS) or by submitting a written request to the NASD. Before
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistrationTraining
Executive Summary
The NASD Board of Governors requests member comment on rule proposals developed by the Industry/Regulatory Council on Continuing Education (the Council). These proposals codify and expand the conceptual recommendations made by a special task force comprised entirely of industry representatives
These days, it's not a matter of if, but when, when it comes to cybersecurity incidents, which is why it's essential for all firms to ensure they're prepared for the inevitable. On this episode, we're catching up with two members of FINRA's Complex Investigations and Intelligence Team for an update on the cyber threat landscape and what firms should be thinking about and doing in response to the latest trends.
The Financial Industry Regulatory Authority (FINRA) announced today that its Board of Governors approved a rule proposal that would impose expungement procedures requiring arbitrators to take specific steps, including issuing a written explanation, before recommending expungement of information related to arbitration cases from a registered person's Central Registration Depository (CRD) record.
I have been contacted by a website called "Let Everyone Invest" that says under the regulations being considered by the Financial Industry Regulatory Authority (FINRA), if these public securities are deemed to be complex, you may not be able to buy them unless you: Pass a regulator-imposed test of your specialized investment knowledge Demonstrate a high net worth Get special approval