TO: All NASD Members and Interested Persons
ATTN: Registration, Training and Compliance Personnel
The subject matter of various NASD qualification examinations has been affected by the passage of the Tax Reform Act of 1984 (the "Act") as well as by recently adopted amendments to certain SEC and NASD rules. The test items affected by these changes have been deleted from the current test
Effective Date: June 12, 1998
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Options
Systems
Trading
Executive Summary
On June 12, 1998, the Securities and Exchange Commission (SEC) approved amendments to National Association of
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 8, 2018
As is our practice, we are marking the start of the new year by publishing our
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On January 14, 1998, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (NASD®) Rule 11890 regarding the handling of clearly erroneous transactions. 1 The NASD and The Nasdaq Stock MarketSM (Nasdaq®)
FINRA announced today the results of its election of two Governors to its Board of Governors. The announcement came after the Annual Meeting of FINRA firms, where Scott A. Curtis, president of Raymond James’s Private Client Group, was elected as a Large-Firm Governor, and Wendy Lanton, Chief Compliance Officer and Founding Principal of Herald & Lantern Investments, Inc., was re-elected as a Small-Firm Governor.
" Publication of Short Interest for Exchange-listed Equity Securities" Why are firms are currently allowed to hold any unreported open short positions? In the OTC market, one firm's large short position could potentially destroy a company. " Content of Short Interest Data" The more data points you collect and publish, the better. A free and fair market means transparency
GUIDANCEArbitration Chairperson SelectionEffective Date: September 17, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission has approved amendments to Rule 10308 of the NASD Code of Arbitration Procedure to reduce the time allotted for the selection of a chairperson in an arbitration
INFORMATIONAL
Default Decisions
NASD Regulation Modifies Default Decision Procedures
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Default Decisions
Disciplinary Actions
Hearing Officers
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the
TO: All NASD Members and Other Interested Persons
ATTN: Corporate Financing Department
The National Association of Securities Dealers, Inc. (NASD), has adopted amendments to the Filing Requirements Section of the Interpretation of the Board of Governors — Review of Corporate Financing, Article III, Section 1 of the NASD Rules of Fair Practice (Corporate Financing Interpretation) which are
The Digital Communication section of the 2019 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.
