SUGGESTED ROUTING
Senior Management
Advertising
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Insurance
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Legal & Compliance
Municipal
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Options
Registered Representatives
Registration
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Variable Contracts
Executive Summary
NASD Regulation, Inc. (
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 4570 (Custodian of Books and Records) to: (1) provide a member that is filing a Form BDW (Uniform Request for Broker-Dealer Withdrawal) the option of designating another FINRA member as the custodian of its books and
The Variable Annuities topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) revisions to amend FINRA rules to address duplicative requirements.
Amendments to the Arbitration Rules Regarding Deficient Claims
INFORMATIONAL
Corporate Debt Securities
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KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
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Rule 6200 Series
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Executive Summary
On August 8, 2003, the
Summary
The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan Lawhead, Vice President and Director – Appellate Group,
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to NASD Rule 9559(s) to amend the reference to the Commission’s review of NASD decisions in expedited proceedings pursuant to Section 19 of the Act by deleting the more specific reference to paragraph (f) of Section 19 and replacing it with a broader reference to Section
Proposed Rule Change to Adopt Rules Governing Guarantees, Carrying Agreements, Security Counts and Supervision of General Ledger Accounts in the Consolidated FINRA Rulebook
