To assist firms in making the transition to the Form BR, NASD used data previously filed on Schedule E, the NYSE Branch Office Application Form, and/or state branch office forms to create a branch record on the Web CRD system for all existing branch offices. The data used was the data on file in Web CRD as of close of business, Friday, October 14, 2005.Firms had until July 3, 2006, to comply with
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FINRA has identified instances in which firms that carry customers’ alternative investment assets held in IRAs failed to apply the requirements of financial and operational rules applicable to those assets.20
The Market Access Controls section of the 2017 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.
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Best execution is a significant investor protection requirement that essentially obligates a broker-dealer to exercise reasonable care to execute a customer's order in a way to obtain the most advantageous
The Product Suitability section of the 2017 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.
The Anti-Money Laundering (AML) Compliance Program section of the 2017 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.
The Outside Business Activities and Private Securities Transactions section of the 2017 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.
September 21, 2005
NASD is issuing this OATS Report to clarify the application of guidance provided in the June 22, 2005 OATS Report entitled "OATS Reporting Obligations for Agency Orders," to OATS Phase II reporting requirements. Specifically, the requirement prescribed in the June 22, 2005 OATS Report to submit Execution Reports instead of Route Reports for certain post
As previously communicated, on February 1, 2018, FINRA will introduce two new products: End-of-Day TRACE Transaction File and the TRACE Security Activity Report.
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