SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Training
Executive Summary
In the following document, the National Association of
FINRA Rule 4230(a) requires clearing firms for which FINRA is the designated examining authority pursuant to SEA Rule 17d-1 to submit requests for extensions of time as contemplated by Regulation T of the Board of Governors of the Federal Reserve System (Regulation T) and SEA Rule 15c3-3(n) to FINRA for approval.
SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
Executive Summary
This Notice advises broker-dealers engaged in the business of agency securities lending that the Agency Lending Disclosure Taskforce (Industry Taskforce), composed of, among others, representatives of the securities industry, regulators, and the Depository Trust & Clearing Corporation (DTCC), has recommended, through its Agency Lending Disclosure Initiative, certain
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1c Consolidated computations of net capital and aggregate indebtedness for certain subsidiaries and affiliates (appendix C to 17 CFR 240.15c3-1).
15c3-1c(a) Flow through capital benefits. Every broker or dealer in computing its net capital and aggregate
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance
Qualification Examinations Restructuring
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
FINRA Rule 8310
NASD Rule 1031
NASD Rule 1032
NASD Rule 1070
Suggested Routing
Compliance
Legal
Operations
Registration
Senior Management
Training
Key Topics
Central Registration
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
During the past year, the Association has taken an active role in attempting to assist members in their obligation to comply with the complex requirements imposed by both the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") and the Interest and Dividend Tax
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
Please note: The following information is intended to provide a general overview of the permitted activities of various registration categories, but it is not an exhaustive list. Please refer to Regulatory Notice 17-30, FINRA Rule 1220 and, regarding retired exam categories, NASD Rule 1032 for further details.
Series 6 - Investment Company Products/Variable Contracts Limited Representative
