(a) Notice of Initiation of Summary Proceedings
FINRA's Chief Executive Officer or such other senior officer as the Chief Executive Officer may designate may provide written authorization to FINRA staff to issue on a case-by-case basis a written notice that summarily:
(1) suspends a member, person associated with a member or person subject to FINRA's jurisdiction who has been
Effective July 16, 2007, NASD member firms may designate co-chief executive officers (co-CEOs) and multiple chief compliance officers (co-CCOs) to discharge the requirements of Rule 3013 (Annual Certification of Compliance and Supervisory Processes and accompanying IM-3013.
Frequently Asked Questions (FAQ) covering reporting of corporate and agencies debt, reporting of mortgage and asset backed securities to the Trade Reporting and Compliance Engine (TRACE)
An Enduring Mission Built on NecessityAs Americans grappled with the Great Depression, the U.S. government knew legislative reform was crucial to improve market regulation and safeguard investors. While the Securities Act of 1933 and the Securities Exchange Act of 1934 increased confidence in U.S. securities regulation, more oversight of the over-the-counter markets was needed. In 1939, the
Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
Chairman Kanjorski, Ranking Member Garrett and Members of the Subcommittee: I am Steve Luparello and I currently serve as Interim CEO of the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
TO: All NASD Members and Interested Persons
ATTENTION: Training Directors and Registration Personnel
Effective February 1, 1984, the NASD will implement changes to the Direct Participation Programs Principal Examination (Series 39). These revisions were made by the Association under the overall direction of the Qualifications Committee of the Board. At the inception of each examination program,
FINRA Provides Guidance on Pandemic Preparedness
A reflection on AWS' Non-Profit Hackathon for Social Good
New Customer Support Hotline Number
Those member firms that are enjoying the benefits of the National Association of Securities Dealers, Inc. (NASD® Member Compliance Support System, Training Analysis and Planning Tool, Version 2.0 (MCSS), will soon benefit from enhanced customer service.
Please note that, as of November 3, 1997, technical questions regarding the MCSS application will be
