SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1991-92 NASD broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to assist members in reviewing, reconciling, and
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1990-91 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this notice to assist members in reviewing, reconciling, and
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FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle begins its second phase this month. Information in this notice is published to assist members in reviewing, reconciling, and responding to the
• Borrowing From or Lending to Customers—Failure to Comply With Rule Requirements
• Churning or Excessive Trading
• Communications With the Public—Late Filing; Failing to File; Failing to Comply With Rule Standards or Use of Misleading Communications
• Customer Account Transfer Contracts—Failure to Comply
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
Payment Deadline: December 7, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
Training
Maintenance Fees
Registration
Renewals
Web CRD
Web IARD
Executive Summary
The National Association of
FINRA’s new account opening template is customizable so that firms can make the form their own.
November 2, 1999The OATS Web interface is an alternative to e-mail, FTP (file transfer protocol), and Connect:Direct for sending new and repaired order data to OATS. Some firms may have recently experienced challenges using the OATS Web interface when sending large volumes (usually more than 100) of new and repaired ROEs. Such actions could result in information not being displayed in a timely
