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Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so take steps to ensure they provide a long-term benefit for your family. To make the most of military benefits and lump sum payments consider these tips.
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
FINRA Requests Comment on Proposed Supplementary Schedule for Derivatives and Other Off-Balance Sheet Items
FINRA Provides Guidance on Application of Communications Rules to Disclosures Required by Department of Labor
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
GUIDANCEEligibility ProceedingsEffective Date: March 7, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesRegistered RepresentativesLegal & ComplianceSenior ManagementClerical and Ministerial ActivitiesMC-400 ApplicationRule 9520 SeriesEligibility ProceedingsRule 9522Statutory DisqualificationExecutive SummaryNASD's Rule 9520 Series sets forth NASD's eligibility
Beginning on February 26, 2024, FINRA will re-platform the TRACE for Treasuries (TS) product to a new Linux-based operating system. This project does not require client changes to be made.
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1010. Electronic Filing Requirements for Uniform Forms1011. DefinitionsIM-1011-1. Safe Harbor for Business ExpansionsIM-1011-2. Business Expansions and Covered Pending Arbitration ClaimsIM-1011-3. Business Expansions and Persons with Specified Risk Events1012. General Provisions1013. New Member Application and InterviewIM-1013-1. Membership Waive-In Process for Certain New York Stock