TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
COMMENTS MUST BE RECEIVED BY NOVEMBER 8, 1984
The Association's Board of Governors has approved for membership comment a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice. Appendix F contains rules and regulations relating to public offerings of
The Supervision 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.
The SDP was designed to provide members of the uniformed services in designated combat zones an opportunity to build their financial savings.
• Customer Confirmations—Failure to Comply With Rule Requirements
• Customer Protection Rule—Failure to Comply With Rule Requirements
• Net Capital Violations
• Recordkeeping Violations
• Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin Requirements
Customer Confirmations—Failure to Comply With Rule Requirements
SEC Rule 10b-
NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
On This Page
Arbitration Statistics Through December
Historical Statistics for Cases Filed and Closed
Top 15 Controversy Types in Customer Arbitrations
Top 15 Security Types in Customer Arbitrations
Top 15 Controversy Types in Intra-Industry Arbitrations
How Arbitration Cases Close
Results of Customer Claimant Arbitration Award Cases
Result of Customer Claimant Arbitration Award Cases
REQUEST FOR COMMENT
Rule Harmonization
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing Legal & Compliance
Registration
Senior Management
Branch Office
Initial Public Offering
Office of Supervisory Jurisdiction
RegistrationRule 2711 (Research Analysts and
Research Reports)Rule 3010 (Supervision)
Rule Harmonization
Supervision
Executive
March 24, 2008
Dear FINRA Member:
We are writing to highlight new and existing areas that are of particular significance to FINRA's examination program for 2008. We hope you find valuable insights into some of the most important topics regarding FINRA examinations, and that it helps you assess your firm's compliance and supervisory programs.
One change to the examination program that
Formal disciplinary action or informal action, settlement or complaint. Or, the one you never hear about: no action. There are a lot of possible outcomes for an Enforcement investigation. On this episode, Jessica Hopper, head of FINRA Enforcement, walks us through the Enforcement process and the many steps in the process.
Summary
FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The protection of senior investors is a top priority for FINRA. As such, FINRA is interested in whether additional tools, guidance or changes to FINRA rules or administrative processes are