Saving for retirement can get complicated for military spouses on the move, but you can still make the most of tax-advantaged retirement savings plans.
Comment Period Expires February 15, 1995
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comment on proposed amendments to the NASD Rules of Fair Practice to adopt rules governing broker/dealers operating on the premises of financial institutions. The proposed rules
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Regulatory Element
General Program (S101)
Series 6 Program (S106)
Executive Summary
NASD Rule 1120 (Continuing Education Requirements) permits the NASD, as appropriate, to designate specific Continuing Education
Last Voting Date: April 23, 1993"
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This Notice provides updated guidance to members regarding SEA Rules 15c3-1, 15c3-3, 17a-5, Rule 204 under Regulation SHO, FINRA Rules 4210, 4230(b), 4521 and 4524, and Federal Reserve Board Regulation T in the event of such an unexpected close.
The Private Placements section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Summary
FINRA has amended its suitability rule, Capital Acquisition Broker (CAB) suitability rule and rules governing non-cash compensation to provide clarity on which standard applies and to address potential inconsistencies with the Securities and Exchange Commission’s (SEC’s) Regulation Best Interest (Reg BI).1 These changes have been approved by the SEC and become effective on June 30, 2020
Neutral Corner - January 2008
GUIDANCE
Sanction Guidelines
Effective Date: March 15, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Registered Representatives
NASD Sanction Guidelines
Institutional Sales Material
and Correspondence
Telemarketing
Research Analysts and
Research Reports
Executive Summary
This Notice advises NASD members of modifications to the
