Displaying 3151 - 3160 of 4654 Results
• Customer Confirmations—Failure to Comply With Rule Requirements
• Customer Protection Rule—Failure to Comply With Rule Requirements
• Net Capital Violations
• Recordkeeping Violations
• Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin Requirements
Customer Confirmations—Failure to Comply With Rule Requirements
SEC Rule 10b-
Comment Period Expires: September 30, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Executive Summary
Under the current interpretation governing the Public Disclosure Program, information on all felony offenses is disclosed indefinitely. NASD Regulation, Inc. (NASD Regulation) requests comment from members and other interested
SUGGESTED ROUTING
Legal & Compliance
Registration
Training
NASD® member firms may now order rosters of their registered persons who are subject to the Regulatory Element of the new Securities Industry Continuing Education rules, which were effective July 1, 1995. (See Special Notice to Members 95-13, March 8, 1995).
Firm rosters will be prepared from a database periodically extracted
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury) the NASD® provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." On April 17, 1997, OFAC
The Best Execution 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 will conduct a special meeting of large firm members on or about October 31, 2022, to elect one individual to fill a vacant Large Firm Governor seat on the FINRA Board of Governors (FINRA Board).1 A formal notice of the special meeting, including the precise date, time and location, will be mailed to executive representatives on or about October 10, 2022.
The purpose of this
Summary
FINRA is issuing this Notice to provide guidance to member firms regarding suspicious activity monitoring and reporting obligations under FINRA Rule 3310 (Anti-Money Laundering Compliance Program).
Questions concerning this Notice should be directed to:
Victoria Crane, Associate General Counsel, Office of General Counsel, at (202) 728-8104; or
Blake Snyder, Senior Director, Member
Below are all the compliance tools offered by FINRA.
Questions? Contact FINRA Support Center at (301) 590-6500 or by email.
Anti-Money Laundering Template
Books and Records Requirements Checklist for Broker Dealers
Breakpoints Checklist and Worksheet
Breakpoints Interest Refund Calculator
Breakpoints Sample Written Disclosure Document
BrokerCheck Link Requirements in FINRA Rule 2210
(a) Normal Ex-Interest DatesAll transactions, except "cash" transactions, in bonds or similar evidences of indebtedness which are traded "flat" shall be "ex-interest" as prescribed by the following provisions:(1) On the record date if the record date falls on a business day.(2) On the first business day preceding the record date if the record date falls on a day
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