May 2006
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to NASD's routine examinations of firms. While each firm must establish its own compliance
The Crypto Asset Developments topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsSenior Management
Short Interest Reporting
Intermarket Surveillance Group
Executive Summary
This Notice to Members advises member firms that, effective September 2007, they are required to increase the frequency of short interest reporting from monthly to twice a month.1 Attachment A outlines the revised Short
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
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.
SUGGESTED ROUTING*
Senior Management
Internal Audit
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Schedule C of the NASD By-Laws
REQUEST FOR COMMENT
Compensation for the Sale of Investment Company Securities
Comment Period Expires: October 17, 2003
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
NASD Rule 2830
Revenue Sharing
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Mutual Fund
Operations
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed new
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
It seems there are a lot of rules and guidelines already in place to ensure a fair stock market for the hedge funds and retail investors. But none of these seem to be enforced, so what the point? You look the other way why the market is grossly manipulated, and the little man suffers... is that the new American way? -Michael C.
