The following glossary of terms is intended only for use by BrokerCheck users to assist them in better understanding a BrokerCheck report. Please note that these terms may have slightly different or more specific meanings in other contexts.
Treasury Makes New Mailing Lists Available Via The Internet
Recently, the U.S. Department of Treasury (Treasury) allowed interestedparties to sign up for the followingtwo new mailing list notificationpages via the Bureau of the PublicDebt's Web site:
One page contains three mailing lists related to government securities market regulation and allows individuals to receive e-mail
Members Reminded To Update PC FOCUS PINs
Members are reminded of their obligation to keep their PC FOCUS Personal Identification Number (PIN) information current. FOCUS filings that are submitted with the PIN of an individual who is no longer registered as a principal of the submitting firm are not considered complete filings.
Background
Each member designated to the National Association of
TO: All NASD Members
The Securities and Exchange Commission recently issued proposals designed to clarify the obligations of brokers and issuers under its previously adopted direct communications program. The SEC had earlier mandated a program for issuers' direct communications with beneficial shareowners to go into effect on January 1, 1985.
However, on August 17, 1984, with the full
For decades, Americans of all incomes have looked to the investment markets as an opportunity to build wealth and achieve goals such as putting their kids through college and retiring among other things. Over the years those opportunities have continued to increase with increasing levels of innovative offerings from simple stocks and bonds to mutual funds, ETF’s, IPO’s, dividends,
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMunicipalOperationsTraining
Executive Summary
On April 7, 1994, the Securities and Exchange Commission (SEC) approved amendments to Municipal Securities Rulemaking Board (MSRB) Rule G-19 concerning suitability of recommendations. The amendments eliminate two provisions that had operated as exemptions to the rule and clarify the
In coordination with the SEC and the CFTC, we are conducting a review of the impact of Hurricane Sandy on firms’ operations and their ability to conduct business at a time when business continuity plans were enacted.
This article highlights some of the common cybersecurity threats faced by broker-dealers. In a number of cases, FINRA has observed that different types of attacks were coordinated and overlapped.
Phishing – Social engineering or “phishing” attacks remain one of the most common cybersecurity threats firms have discussed with FINRA. Many firms experienced situations where employees provided
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is publishing for comment an amendment to Schedule E to the NASD By-Laws that would exempt a qualified independent underwriter from the pricing requirements of Section
The Books and Records 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.
