Effective March 15, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
(a) Designation of Custodian
A member that files a Form BDW shall designate on the Form BDW, as the custodian of the member's books and records: (i) a person associated with the member at the time that the Form BDW is filed; or (ii) another FINRA member.
(b) Obligations of Custodians
The custodian designated on the Form BDW shall preserve the books and records of the member
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of Securities which provides, with certain exceptions, that no member
The 2024 FINRA Annual Regulatory Oversight Report provides member firms with insight into findings from FINRA’s Member Supervision, Market Regulation and Enforcement programs.
This rule change is long overdue for the sustainability and transparency of the markets.
Don't you dare take this right away from investors. If this rule passes I'm pulling everything out of the market.
I oppose SEC Proposed Rule #S7-24-15. I have the right to choose the public investments that are right for me and my family
I am opposed to your proposed limitations on my ability to purchase and sell investments. Your proposed rule should not be implemented.
Any delays in settlement provides a wide open door for manipulation & that is exactly what we see now. Rules do not matter when there is No Enforcement!
The Neutral Corner - Volume 1—2022
