SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified
2020 Exams Will Be Conducted Under Unified Program
WASHINGTON—FINRA announced today the senior leadership team under the new examination and risk monitoring structure within the organization. This marks the consolidation of FINRA’s three exam functions into a single, unified program—a process that began in October 2018.
FINRA regulates more than 3,600 firms and 630,000 individual brokers, and
<p>Electronic Batch Approval of New Customer Accounts.</p>
This panel focuses on education and awareness about key developments in the digital assets market, including exploring issues related to broker-dealer’s involvement in the digital assets market and developments concerning DeFi and stablecoins. Join FINRA panelists and industry experts as they discuss these complex investments products and consider both the potential benefits and risks they present.
GUIDANCE
Business Expansions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Business ExpansionsIM-1011-1
Material Change in Business
OperationsRule 1017
Safe Harbor
Executive Summary
On August 7, 2006, the Securities and Exchange Commission
(SEC) approved amendments to Interpretative Material 1011-1
(Safe Harbor for Business Expansions) (IM-1011-1) to
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Trading
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
To improve disclosure of broker-dealer compensation for order flow and to make the disclosure more uniform
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Trading and Market Making
Sales
Senior Management
Legal and Compliance
Internal Audit
Training
Mark-Ups
Debt Securities
Rule 2440
Pricing of Debt Securities
Mark-Ups on Debt Securities
Executive Summary
On April 16, 2007, the Securities and Exchange Commission (SEC) approved IM-2440-2, "Additional Mark-Up Policy for Transactions in
GUIDANCEBranch Office DefinitionEffective Date: May 1, 2006SUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsRegistered RepresentativesRegistrationSenior ManagementTrainingBranch Office DefinitionBranch Office RegistrationCentral Registration Depository(CRD® or Web CRD)Form BR (Uniform Branch OfficeRegistration Form)IM-3010-1Internal InspectionsRule
Firms may adopt different cloud models, depending on their needs and preferences. Each model provides different features and implies different trade-offs. Models are generally categorized into the following:12
Public cloud: In this model, cloud services are made available virtually over the internet to users and are operated by a cloud service provider. The cloud provider hosts and operates the
Managing real estate from afar can be a challenge for a family living the military lifestyle. You should approach real estate with the same care you would take before making any investment.
