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Cybersecurity has only increased in importance as huge swaths of the workforce continue to work remotely. On this episode, two FINRA cybersecurity experts share how FINRA handled the transition and areas of focus for 2021. Plus, learn why you should think twice before trying to brush that piece of hair off your phone screen.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
REQUEST FOR COMMENT
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Member Private Offerings
Executive Summary
NASD is issuing this Notice to Members to solicit comments from members
Summary
FINRA has multiple committees that facilitate effective engagement with its member firms and representatives of the public regarding regulatory and policy initiatives related to FINRA’s mission of promoting market integrity and investor protection in a manner that promotes vibrant capital markets. The purpose of this Notice is to encourage employees of member firms and other interested
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NASD Rule 3070 System Requirements
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Chief Compliance Officer
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NASD Rule 3070 System Requirements
Executive Summary
NASD Rule 3070(c) requires members to report to NASD statistical
FINRA is committed to maintaining secure applications and infrastructure as we strive to protect the data we handle. We wish to encourage security researchers to report vulnerabilities in order to help us keep our enterprise and data safe.
(a) A member shall, at or before the completion of any transaction in any security effected for or with an account of a customer, give or send to such customer written notification ("confirmation") in conformity with the requirements of SEA Rule 10b-10.
(b) A confirmation given or sent pursuant to this Rule shall further disclose:
(1) with respect to any transaction in any NMS stock,
Background
Advanced data analytics is a critical function within FINRA and an important component of our efforts to be a risk-based and data-driven organization.7 This work, which supports our examination, surveillance and enforcement functions among others, is conducted in a number of areas throughout FINRA, but primarily within Market Regulation Surveillance, Research, Methodology, and
The following list of factors should be considered in conjunction with the imposition of sanctions with respect to all violations. Individual guidelines may list additional violation-specific factors.
Although many of the general and violation-specific considerations, when they apply in the case at hand, have the potential to be either aggravating or mitigating, some considerations have
FINRA’s Advertising Regulation Conference offers a comprehensive agenda designed for new and experienced communications compliance and marketing professionals. Industry and regulatory speakers facilitate interactive discussions of communications topics including new rules, effective practices, regulatory priorities and emerging technologies.