Displaying 1661 - 1670 of 4654 Results
WASHINGTON—The Securities and Exchange Commission's Division of Examinations and Office of Municipal Securities (OMS), the Municipal Securities Rulemaking Board (MSRB), and FINRA today announced the opening of registration for the 2021 Compliance Outreach Program for Municipal Advisors. The virtual program will be held Thursday, Oct. 7, 2021, 10 a.m.-5 p.m. ET. Additional information and
FINRA’s ombudsman is a neutral party that acts as an impartial, confidential and independent resource to assist in finding solutions to issues or concerns an individual may have with FINRA. On this episode, we talk to FINRA’s Ombudsman to hear she works to prevent real or perceived conflicts of interest.
Board Approves Annual Financial Report, Enforcement Digital Transformation Initiative and Three Rulemaking Items
WASHINGTON – FINRA's Board of Governors met virtually on June 10 and 11. During the meeting, the Board approved three rulemaking items and approved the organization's Annual Financial Report, which FINRA issues each year to provide transparency regarding its finances. The
In accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will sponsor a final User Acceptance Test (UAT) to allow clients to test the changes for T+1 Settlement for the Over-The-Counter Reporting Facility (ORF) and the Alternative Display Facility (ADF). The test will occur on
REQUEST FOR COMMENTMinor Rule Violation Plan and Inactive Disclosure Review Registration StatusComment Period Expired April 19, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementArticle V, Section 2 of the NASD By-LawsArticle V, Section 3(a) of the NASD By-LawsCentral Registration Depository (CRD® or Web CRD)IM-
The comment for gender is NOT in keeping with today's diversity needs. Male or Female does not cover any trans or pan sexuality. While I've had my account for over 20 years, I don't see why suddenly this sort of information is needed. It's part of the whole requirements that are just unnecessary, and make me want to lie. My annual income? None of this bank's concern. And
WASHINGTON, D.C.— While the economic fallout caused by COVID-19 has led to a significant rise in tips, complaints and referrals involving investment scams, new research from the FINRA Investor Education Foundation (FINRA Foundation) and the Center for Economic and Social Research (CESR) provides evidence that repeated exposure to concise, online educational interventions can reduce susceptibility
I’d like to voice my support for Short Interest Position Reporting Enhancements. In today’s digital market and environment, information is the most valuable resource retail investors (and others) can have to make responsible decisions with their finances. More frequent and accurate reporting are important… as well as penalties for non-reporting that are MORE punitive than the potential gain from
REQUEST FOR COMMENT
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program)
Comment Period Expires: January 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Legal & Compliance
Senior Management
Central Registration Depository
NASD
Digital Experience Transformation Invites Firms to “Help Us Design the Future” of Compliance Reporting and Management
WASHINGTON – FINRA announced today that it is launching an initiative to transform the digital platform that firms use to engage with FINRA across several programs. The Digital Experience Transformation, as it is being called, is a wide-ranging, multi-year effort to integrate and