Displaying 3821 - 3830 of 4654 Results
Effective Date: January 1, 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
Syndicate
Systems
Trading
Training
Variable Contracts
Executive
Multi Factor Authentication (MFA) enhances the security of accounts by adding an additional layer of security beyond the Username and password. MFA is one of the most effective security controls currently available to protect against remote security hacks. Passwords are increasingly easy to compromise and are often stolen, guessed or hacked. MFA helps the account stay secure even if the password
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed concept for the continuing assessment of registered
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The NASD invites members to vote on a proposed amendment to Article VI, Section 3 of the NASD By-Laws to permit the NASD to suspend or cancel the membership or registration of a member or associated person for failing to honor a written and executed settlement agreement obtained in connection with an
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
The NASD requests comments on proposed amendments to Article in, Section 45 of the Rules of Fair Practice that would require certain disclosures and reporting of Direct Participation Program (DPP) securities on customer account statements. Units
FINRA is sharing the following common practices we observed while conducting Reg BI preparedness reviews and other ongoing conversations with firms. We hope this helps firms assess their Reg BI initiatives and continue their work preparing for the compliance date.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1991-92 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the renewal process through the payment of one invoice amount that will include fees for NASD
Summary
Chief Compliance Officers (CCOs) at member firms play a vital role. For example, CCOs and their compliance teams help design and implement compliance programs, help educate and train firm personnel, and work in tandem with senior business management and legal departments to foster compliance with regulatory requirements. In this way, CCOs help promote strong compliance practices that
In 2020, FINRA and the CE Council embarked on the biggest transformation of the continuing education program in 25 years. And in the months ahead, those major changes are going into effect. On this episode, we learn what firms and reps can expect and why these changes will have such a big impact.
I believe that the complexity of Leveraged ETFs is correctly matched with the current required notice and acknowledgement. Further restrictions on these products are very likely to be unfair to everyday Americans. Retail investors can and should be able to choose the level of risk and volatility that matches their investment knowledge and interest without needing to be already experienced or