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November 2020
FINRA is conducting a review of firms’ systems and procedures for providing customers waivers and rebates available through Rights of Reinstatement1 (RoR) on mutual fund purchases.
As part of this review, FINRA will request that each firm that receives this information request respond to the questions below with respect to the period January 1, 2017 through June 30, 2020 (the
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1990-91 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this notice to assist members in reviewing, reconciling, and responding
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached.
Over the past several years, the Association's Ad Hoc Committee on
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and responding to the
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective August 1, 1989, the requirement to report daily price and volume in non-
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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
Anukool Rege joined FINRA in March 2024 as Senior Vice President, Data Management and Governance Office (DMGO). He is a member of the Technology department’s senior leadership team and reports to Steve Randich, Executive Vice President and Chief Information Officer.Mr. Rege is responsible for guiding FINRA’s enterprise-wide data strategy, which includes overseeing the organization’s data
(a) Development
(1) Industry Member file submission and data integrity testing for Phases 2a and 2b shall begin in December 2019.
(2) Industry Member testing of the Reporter Portal, including data integrity error correction tools and data submissions, shall begin in February 2020.
(3) The Industry Member test environment shall open with intra-firm linkage validations to Industry Members for
(a)(1) Unless otherwise permitted by FINRA, a capital acquisition broker must suspend all business operations during any period in which it is not in compliance with applicable net capital requirements set forth in SEA Rule 15c3-1.
(2) FINRA may issue a notice pursuant to FINRA Rule 9557 directing a capital acquisition broker that is not in compliance with applicable net capital
(a) Each member that is a party to an arbitration in which more than $25,000, exclusive of interest and expenses, is in dispute must pay non-refundable process fee, due at the time the parties are sent arbitrator lists in accordance with Rule 13403(b), as set forth in the schedule below.
Process Fee Schedule
Amount of Claim
(