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Customers give registered representatives authority to act on their behalf when they provide authorization to engage in discretionary trading or permit registered representatives to act as trustees or co-trustees, hold Powers of Attorney or serve as executors or beneficiaries. FINRA reminds firms that these roles can expose investors to material risks—e.g., unsuitable or excessive
The Reasonable Diligence for Private Placements section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
The Fixed Income Mark-Up Disclosure section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Suitability for Retail Customers
Fixed Income Mark-up Disclosure
Reasonable Diligence for Private Placements
Abuse of Authority
SEC Approves Proposed Rule Filing SR-FINRA-2011-063 related to Information Barrier ID, Customer Instruction Flag and the OATS Reporting Deadline.
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Training
Executive Summary
On September 29, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Corporate Financing Rule, Article III, Section 44 of the NASD Rules of Fair Practice relating to rights of first refusal. The amendment continues to permit the use of rights of first refusal, but
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Executive Summary
The Department of Treasury (Treasury) asked the NASD® to remind its members about regulations issued by the Office of Foreign Assets Control (OFAC). These regulations require broker/dealers to block1 accounts and other assets of countries identified as threats to national security by the
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
As of October 20, 1995, the following 82 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,913:
Symbol
Company
Entry Date
SOES Execution Level
ANMWV
Advanced NMR Systems, Inc. (Wts 8/30/00 WI)
9/21/95
200
BVAS
Bio-Vascular, Inc
