SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix F under Article III, Section 34 of the Rules of Fair Practice and Schedule D to the NASD By-Laws. The amendments would restrict member participation in
The SDP was designed to provide members of the uniformed services in designated combat zones an opportunity to build their financial savings.
Si bien FINRA nunca le pedirá dinero, existen estafadores que podrían intentar convencerle de lo contrario. Estos estafadores financieros se hacen pasar por reguladores, solicitando cuotas para transferir fondos u ofreciendo falsas "garantías" de inversión que solo servirán para separarle de sus ahorros.Las comunicaciones de estos estafadores pueden ser convincentes, pero no muerda el
By offering new ways for financial institutions to engage and interact both internally and externally, the metaverse may provide new opportunities and present novel challenges. For example, market participants have noted that the metaverse may offer new methods to engage with and educate a broader group of investors, particularly younger investors who are beginning their investing journey. The
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
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.
Summary
Several member firms recently notified FINRA that they have experienced email account takeovers (ATOs) while using cloud-based email platforms, including Microsoft Office 365 (O365). Attackers used compromised email accounts to defraud member firms by requesting fraudulent wire requests or stealing confidential firm information or non-public personally identifiable information (PII).
Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended.
GUIDANCE
Outsourcing
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Due Diligence
Outsourcing
Supervisory Responsibilities
Third-Party Service Providers
Executive Summary
NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to their business
GUIDANCE
Examination Fees
Implemention Date: January 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Examination Fees
Qualification Examinations
Registration
Schedule A to the NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness amendments to Section 4 of
