Frequently asked questions and answers
March 10, 2021FINRA’s Board of Governors met virtually last week, and I am pleased to share some updates from our discussions.The Board approved the publication of a Regulatory Notice soliciting comment on proposed amendments to FINRA Rule 3240 (Borrowing From or Lending to Customers) resulting from a recent Retrospective Rule Review. The proposal seeks to strengthen the general prohibition of
Summary
The annual meeting of FINRA firms will take place on or about Wednesday, September 6, 2023, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Monday, August 7, 2023.
The purpose of this
REQUEST FOR COMMENT
Best Execution
Comment Period Expires on: August 9, 2002
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Legal & Compliance
Market Making
Operations
Registered Representatives
Senior Management
Trading
Best Execution
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (
<p>Letter addresses circumstances under which persons must report events involving a fixed annuity insurance product.</p>
REQUEST FOR COMMENT
Membership Application Rules
Comment Period Expires: September 20, 2002
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Membership Application Process
Membership Continuation Process
Rule 1014
Rule 1017
Executive Summary
NASD requests comment on proposed amendments to Rules 1014 and 1017. Rule 1017(a) sets forth certain
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
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Executive Representatives
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Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National
INFORMATIONAL
Selling Away And Outside Business Activities
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Executive Representatives
Insurance
Legal & Compliance
Operations
Registered Representatives
Senior Management
Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (
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Senior Management
Internal Audit
Legal & Compliance
Training
Executive Summary
Members must review and correct promptly, as needed, their settlement agreements with customers or other persons that contain confidentiality clauses that prohibit or discourage the customer or other person from disclosing the settlement terms (and the underlying facts of the dispute
Many people prepare for the inevitability of death by creating wills or trusts, spelling out instructions about medical care through advance directives, and naming beneficiaries on retirement accounts. Sometimes overlooked in estate management is the transfer of securities that are in a non-retirement brokerage account, aspects of which can be planned ahead of time.
