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Cross-Market Supervision Report Cards
The Cross-Market Equities Supervision Manipulation Reports provide firms feedback on exceptions that were generated based on firms' order entries and trading activities in a given surveillance period.
Online Learning Report Cards
The CE Regulatory Element Report is published each quarter for any firm that has had at least one representative take a Regulatory Element CE session during the quarter. The report provides information about the firm's performance as well as industry performance during the quarter for comparison.
Notice to Members 99-72
SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts As of June 22, 1999, the following bonds were added to the Fixed
Targeted Examination Letter on the Review of Cross-Selling Programs
FINRA is conducting an inquiry regarding incentives for broker-dealer ("firm") employees to:
Corporate Financing Report Cards
Report cards created for firms to monitor timeliness of Corporate Financing filings.These report cards display statistics about late filings submitted to Corporate Financing.
MSRB Report Cards
strong a{font-weight:bold; } These reports and report cards display statistics related to firms' compliance with Municipal Securities Rulemaking Board rules and other requirements related to municipal securities and the MSRB's Electronic Municipal Market Access website. MSRB Markup/Markdown Analysis Report The report is a monthly compliance tool that provides an analysis of the markup
Disclosure Report Cards
Reports published for firms to monitor their performance in reporting disclosure and non-disclosure events and CRD late filing fee information.
Notice to Members 99-73
Comment Period Expires September 13, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund
Regulatory Notice 16-40
SEC Approves FINRA ‘‘Pay-To-Play’’ and Related Rules
Notice to Members 99-74
Special NASD Notice to Members 99-74 Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading