FINRA held its biannual Cybersecurity Conference last month, bringing together experts from securities firms, regulators and law enforcement to share effective practices, practical tips and information about new threats and challenges. More than 270 attendees in person and approximately 75 firms via the web saw presentations covering a broad range of topics including:
Using the National
SummaryFINRA, as a self-regulatory organization, is informed by and benefits from the expertise of industry and other stakeholders. As such, FINRA has multiple committees that facilitate effective engagement with member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection. The purpose
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm
As of November 21, 1988, the following 25 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,902
The Series 34 exam—the Retail Off-Exchange Forex Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 30 exam—the NFA Branch Managers Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 31 exam—the Futures Managed Funds Examination—is a National Futures Association (NFA) exam administered by FINRA.
The Series 32 exam—the Limited Futures Examination-Regulations—is a National Futures Association (NFA) exam administered by FINRA.
INFORMATIONAL
Instant Messaging
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
Operations
Trading and Market Making
Electronic Communications
Communications with the Public
Recordkeeping
Executive Summary
NASD is clarifying for members their supervisory obligations and recordkeeping requirements with respect to
A listing of forms related to Uniform Practice Code.
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 5, 1990, the NASAA/NASD Central Registration Depository (CRD) began accepting the electronic submission of amendments to page 1 of Form U-4, the Uniform Application for Securities Industry Registration or
