SUGGESTED ROUTING:*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or special
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD will soon file its proposed revision of the NASD Manual with the Securities and Exchange Commission (SEC) for approval, which is expected later this year. Following SEC approval, the NASD will direct the Commerce Clearing House and vendors providing electronic versions of the NASD Manual to convert the
What is Herd?
Overview
Herd is big data governance for the cloud. The herd Unified Data Catalog (UDC) helps separate compute from storage in the cloud. Herd job orchestration manages your ETL and analytics processes while tracking all data in the catalog. Here is a quick summary of features:
Unified Data Catalog - A centralized, auditable catalog for operational usage and data governance
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed a $250,000 fine against J.P. Turner & Company, LLC of Atlanta, GA, for failing to have an adequate supervisory system designed to ensure that its registered representatives charged customers fair and reasonable commissions on stock trades.
The Communications with the Public section of the 2021 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
In 2021, considerable industry, and in some cases public, attention was focused on topics that FINRA also addressed through its exam and risk monitoring program. These topics include newer SEC Rules (e.g., Regulation Best Interest (Reg BI), Form CRS, amendments to Rule 606), recent increases in the number and sophistication of cybersecurity threats, and the proliferation of securities trading
In the unlikely event of a system-wide failure, FINRA will use the following resources to alert members.
FINRA departments also create specific subject-matter committees as needed to consult on various issues. The composition of the committees and their meeting frequency depends upon FINRA’s consultation needs related to the subject matter.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined LPL Financial LLC $950,000 for supervisory deficiencies related to the sales of alternative investment products, including non-traded real estate investment trusts (REITs), oil and gas partnerships, business development companies (BDCs), hedge funds, managed futures and other illiquid pass-through investments.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of March 25, 1992, the following 63 issues joined the Nasdaq National Market, bringing the total number of issues to 2,766:
Symbol
Company
SOES Entry Date
Execution Level
LTCH
Litchfield Financial Corporation
2/25/92
1000
SCHL
Scholastic
