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
Dear FINRA Regulators,
I am a small investor who took an interest in ETF investments back in 2008, when a severe drop in the market had affected a great many people. At that time I reasoned that having the ability to engage the market in both directions, UP or DOWN, would be a critical component of my investment strategy. Since then I have employed both conservative and less risk-adverse
FINRA and the SEC Issue Joint Guidance on Effective Policies and Procedures for Broker-Dealer Branch Inspections
(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
Proposed Amendments to Qualification Examination Fees in Section 4(c) of Schedule A to the FINRA By-Laws
FINRA Consolidates the Collection of Short Interest Data; Effective Date: May 15, 2008
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education—Regulatory
Element Fees
Qualification Examination Fees
Rule 1120 (Continuing Education Requirements)
Schedule A to NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness amendments to Section 4
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
FINRA has replaced the Automated Data Delivery System (ADDS) OTC Reporting Facility Trade Journals (v1.3) document with the FINRA ADDS User Guide v5.0.
Program Agenda | October 25 – 27, 2022
All times listed are Eastern Time
Tuesday, October 25
12 – 1 p.m.
CEO Conversation
FINRA Vice President and Chief Diversity Officer Audria Pendergrass Lee provides opening remarks for a dialogue between FINRA President and CEO Robert Cook and Maeve DuVally, former managing director of Corporate Communications at Goldman Sachs. During this
