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(a) A member shall process and forward promptly all information as required by this Rule and applicable SEC rules regarding a security to the beneficial owner (or the beneficial owner's designated investment adviser) if the member carries the account in which the security is held for the beneficial owner and the security is registered in a name other than the name of the beneficial owner.
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INFORMATIONAL
New Registration Category-Rules And Examination
SUGGESTED ROUTING
KEY TOPICS
Continuing Education/Testing/Qualification
Legal & Compliance
Operations
Registration
Senior Management
Training
Limited Representative-Private Securities Offerings (Series 82)
NASD Rule 1032
Qualification Examinations
Executive
FINRA recently announced the creation of a new team, the Office of Regulatory Economics and Market Analysis, which brings together FINRA's Office of the Chief Economist and the Office of Financial Innovation. On this episode, we talk to three leaders from the new group to hear about its mandate and how the new team works to inform FINRA's regulatory policies and programs to advance its mission of investor protection and market integrity.
The 2023 FINRA Foundation Ketchum Prize recipient has dedicated his life to understanding what makes someone susceptible to fraud—and pioneering ways to fight it. On this episode, we hear from Dr. Doug Shadel to hear about his research and years of working as one of America's most active fraud fighters.
Note: The effective date for amendments to Rule 3340 (prohibiting the publication of quotations and indications of interest during a trading halt) has been delayed until October 9, 2001 to allow members more time to modify their systems.
INFORMATIONAL
Publication Of Quotations; Indications Of Interest
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
ACTION REQUIRED
Broker/Dealer And Agent Renewals
Payment Deadline: December 8, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Maintenance Fees
Registration
Renewals
Web CRD
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) 2001 Broker/Dealer and
Summary
The 2021 Renewal Program begins on November 16, 2020, when FINRA makes the Preliminary Statements available to all firms in E-Bill. Preliminary Statements are not mailed to firms.
Firms should note the following key dates in the renewal process:
October 19, 2020 Firms may begin submitting post-dated Form U5 and BR Closing/Withdrawal filings via CRD/IARD.
November 1, 2020
FINRA is publishing its quarterly OTCBB/OTC Equities High Price Dissemination List for the third quarter of 2019. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of December 20, 2019. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter December 19
WASHINGTON – FINRA announced today that it has named Greg Ruppert as Executive Vice President, National Cause and Financial Crimes Detection Programs. Ruppert will join FINRA March 23 and will report directly to Bari Havlik, Executive Vice President, Member Supervision.
“Detecting fraud and addressing it quickly is core to our mission of investor protection and market integrity,” said Havlik, “
ACTION REQUIRED
Renewal fees for the year 2000 for all participating regulators are due NO LATER than December 10, 1999.
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
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