Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
Thank you, Mr. President-elect, I'm honored and humbled to be considered for this position.
During this session, FINRA staff discuss the migration of examination by business model including the firm grouping structure, how the Risk Monitoring and Examination teams coordinate, and what firms can expect going forward.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 1, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article HI, Section 27 of the NASD Rules of Fair Practice that would (1) prescribe specific supervisory practices and procedures for all member firms and (2) revise the definitions of "office of supervisory jurisdiction" (OSJ)
As prepared for delivery.
Essential Elements of Sound Capital Market Structure
Good afternoon. First, let me thank Alison [Watson] for the invitation to speak with you today. The Exchequer Club plays a unique role in Washington by providing an important venue to discuss the major issues facing the financial services industry, and business generally. So it's a pleasure to be here with you
INFORMATIONAL
Municipal Securities Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Transactions
Inter-dealer Transactions
MSRB Rules G-12 And G-14
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (MSRB) Rules G-12
On April 25, FINRA issued an alert to member firms which highlighted a phishing attack using the domain name “@claims-finra.org”. This alert is to warn you about a new, potentially related, phishing attack also purporting to be from FINRA.
Last Voting Date: December 31, 1993
SUGGESTED ROUTING
Senior ManagementAdvertisingCorporate FinanceGovernment SecuritiesLegal & ComplianceMutual Fund
Executive Summary
The NASD invites members to vote on an amendment to Article III, Section 35(c) of the Rules of Fair Practice that would require a member using mutual fund rankings in advertisements or sales literature to submit copies
Below are all the compliance tools offered by FINRA.
Questions? Contact FINRA Support Center at (301) 590-6500 or by email.
Anti-Money Laundering Template
Books and Records Requirements Checklist for Broker Dealers
Breakpoints Checklist and Worksheet
Breakpoints Interest Refund Calculator
Breakpoints Sample Written Disclosure Document
BrokerCheck Link Requirements in FINRA Rule 2210
Kayte Toczylowski is Vice President of Member Relations and Education for FINRA. In leading the Member Relations and Education Department, Ms. Toczylowski’s responsibilities include maintaining and enhancing open and effective dialog with FINRA member firms. Ms. Toczylowski also oversees FINRA’s Member Education area, which includes FINRA conferences and other member firm educational offerings
