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Notice to Members 99-94
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date— Settlement Date Schedule The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
Funding Portal Statutory Disqualification Process
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification. General Information on FINRA’s Eligibility Requirements Under the FINRA By-Laws, no person shall be admitted to or continued in
When a Brokerage Account Holder Dies—What Comes Next?
When it comes to the death of a brokerage account holder, many firms have trained staff and resources to help the living manage estate matters. Once a firm has been notified of the death of an account holder, here are some things you can expect.
Notice to Members 99-95
INFORMATIONAL NASD By-Laws Amendments Effective Date: December 1, 1999 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Associated Person Definition The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive
Targeted Examination Letter on Unit Investment Trust Rollover Review
FINRA is conducting an inquiry with respect to Unit Investment Trust (“UIT”) rollovers. In connection with our inquiry, we request that firm provide the following documents and information for the period from January 1, 2014 through June 30, 2016 (the “Review Period”) to the undersigned by no later than October 10, 2016.
Notice to Members - December 1999
Updates.
Notice to Members 99-96
INFORMATIONAL Employment Arbitration Rules Effective Date: January 18, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Arbitration Discrimination Employment The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Election Notice – 9/7/16
FINRA Small Firm Advisory Board Election
Election Notice – 9/7/16
Upcoming Election to Fill FINRA District Committee Vacancies
Notice to Members 99-97
INFORMATIONAL Ombudsman SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Corporate Finance Legal & Compliance Registration Senior Management Trading & Market Making Ombudsman The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own