Summary
FINRA is proposing formal procedures for bringing actions against non-associated persons who cheat or misbehave during a FINRA qualification examination. Although there are few instances of cheating, because persons who are not yet associated with a member firm may take the Securities Industry Essentials (SIE) examination or other FINRA qualification examinations, formal procedures are
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Investment Company Securities
We are conducting a comprehensive self-evaluation and organizational improvement initiative called FINRA360. The objective of this effort, which CEO Robert Cook launched in early 2017, is to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant
FINRA Requests Comment on Proposed Research Registration and Conflict of Interest Rules; Comment Period Expired: November 14, 2008
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III of the NASD Code of Procedure concerning Board of Governors'
The purpose of this notice is to make sure you understand and agree to the Qualification Examinations Rules of Conduct for examinations administered in test centers or remotely. You are required to agree to all of the following Rules of Conduct before starting your examination.
Testing personnel are NOT authorized to grant exceptions to any of these rules.
Personal Items
I understand and
INFORMATIONAL
Anti-Money Laundering Customer Identification Programs for Broker/Dealers
Effective Date: October 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
Executive Summary
On April 30, 2003, the Department of Treasury (Treasury) and
National Comprehensive Survey of Financial Capability Finds Younger Americans, Those With Lower Incomes, African-Americans and Those Without a College Degree Facing Toughest Financial Struggles
WASHINGTON – As the gap between the Haves and the Have-nots continues to widen, cash-strapped Americans are failing to save money, struggling with student loan debt and facing decreasing financial
Jennifer Piorko Mitchell Office of the Corporate Secretary FINRA 1735 K Street, NW Washington, DC 20006-1506 To Whom It May Concern, Hi there. I’m Dave Nadig, Financial Futurist for ETF Trends and ETF Database. For most of the last 25 years, my job has been to help asset managers understand investors and help investors understand the products that asset managers build. Since 1993, I’ve been in
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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-5 Security-based swap trading relationship documentation.
15Fi-5(a) Scope -
15Fi-5(a)(1) Applicability. The requirements of this section shall not apply to:
15Fi-5(a)(1)(i) Security-based swaps executed prior to the date on which a security-based swap dealer
