Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
There are several regulatory implications that firms may wish to consider when establishing a presence in the cloud. It is important to keep in mind that although a firm may shift its technology infrastructure to a cloud environment, all of the regulatory requirements that are applicable in an on-prem environment continue to apply. However, cloud-based applications may contain some unique
(a) Filing of Application
(1) How to File
An Applicant for FINRA membership shall file its application with the Department in the manner prescribed by FINRA. An Applicant shall submit an application that includes:
(A) Form NMA;
(B) an original signed and notarized paper Form BD, with applicable schedules;
(C) an original FINRA-approved fingerprint card for each Associated Person who will be
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Filing of Application
(1) How to File
An Applicant for FINRA membership shall file its application in the manner prescribed by FINRA with the Department of Member Regulation ("the
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
15c3-1a(a) Definitions.
15c3-1a(a)(1) The term unlisted option shall mean any option not included in the definition of listed option provided in paragraph (c)(2)(x) of § 240.15c3-1.
15c3-1a(a)(2) The term option
Comment Period Expires: July 15, 1997
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In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to NASD®Rule 2210 to require that written or electronic
SUGGESTED ROUTINGSenior ManagementInternal AuditLegal & ComplianceRegistration Executive SummaryNational Association of Securities Dealers, Inc., (NASD®) rules require that members supervise each of their associated persons, regardless of their location, compensation arrangement, or registration status. This Notice addresses firm obligations to supervise associated persons located in
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The Securities Industry/regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SrOs).1 Both the Securities
Cybersecurity has only increased in importance as huge swaths of the workforce continue to work remotely. On this episode, two FINRA cybersecurity experts share how FINRA handled the transition and areas of focus for 2021. Plus, learn why you should think twice before trying to brush that piece of hair off your phone screen.
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On March 2, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 44 of the Rules of Fair Practice (Corporate Financing Rule) to exempt modified guaranteed annuity contracts and modified guaranteed life insurance contracts from the filing