INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
Executive Summary
On
The Business Continuity Plans (BCPs) 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.
(a) Members or associated persons seeking to expunge information from the CRD system arising from disputes with customers must obtain an order from a court of competent jurisdiction directing such expungement or confirming an arbitration award containing expungement relief.
(b) Members or associated persons petitioning a court for expungement relief or seeking judicial confirmation of an
REQUEST FOR COMMENTMinor Rule Violation Plan and Inactive Disclosure Review Registration StatusComment Period Expired April 19, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementArticle V, Section 2 of the NASD By-LawsArticle V, Section 3(a) of the NASD By-LawsCentral Registration Depository (CRD® or Web CRD)IM-
GUIDANCEContinuing Education RulesSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsSenior ManagementContinuing EducationRule 1120Executive SummaryOn February 13, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central
If your firm (or other departments or divisions of your firm) is already an Equifax member then your firm needs to simply follow the steps below. There are no additional Equifax membership fees if your firm is already an Equifax member.
Complete an Equifax Membership Addendum: Existing members of Equifax should contact the Equifax Customer Service at 1(800) 796-6573 to request an Equifax
Three FINRA rules form a regulatory scheme addressing the supervision of firms and their associated persons.FINRA Rule 3110 (Supervision)FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated persons that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.The rule details
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
Amendments to NASD IM-2210-4: Web Site References to FINRA Membership and Limitations on the Use of FINRA's Name and Other Corporate Names Owned by FINRA
REQUEST FOR COMMENT
New Products Sales Material and
Television, Video, and Radio
Advertisements
Comment Period Expires May 20, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising
Investment Companies
Legal & Compliance
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rule 2210
Executive Summary
NASD is proposing to amend
