Following are FAQs about FINRA’s research conflicts of interest rules.
Rule 3070
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Rule 3070
Reporting Requirements
Executive Summary
On March 3, 2003, the Securities and Exchange Commission (SEC) approved SR-NASD-2002-112, a proposal to amend NASD Rule 3070 to require members promptly to file with NASD copies of
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Expand All | Collapse All0100. General Standards1000. Member Application and Associated Person Registration2000. Duties and Conflicts3000. Supervision and Responsibilities Relating to Associated Persons4000. Financial
The Regulatory Events Reporting section of the 2022 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.
Summary
FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule.
Questions concerning this Notice should be directed to:
Michael Garawski, Associate General
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
