INFORMATIONAL
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KEY TOPICS
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The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
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Table of Contents
PART I INTERPRETIVE MATERIAL, DEFINITIONS,
(a) Each member must create and maintain a written business continuity plan identifying procedures relating to an emergency or significant business disruption. Such procedures must be reasonably designed to enable the member to meet its existing obligations to customers. In addition, such procedures must address the member's existing relationships with other broker-dealers and counter-
I am Mary L. Schapiro, President of NASD Regulation, Inc. NASD Regulation, Inc. and our parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify on the securities day-trading industry
There are two types of 529 plans—prepaid tuition plans and savings plans. Prepaid plans offer protection against rising tuition costs. Savings plans allow earnings to grow tax-deferred, and withdrawals are tax-free when used for qualified education expenses. Nearly every state offers at least one of these types of plans.
The mission of Regulatory Economics and Market Analysis (REMA) is to elevate FINRA’s ability to make sound regulatory and policy decisions and foster innovation in regulation through best-in-class research and analysis.
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Executive Summary
In the October Notices to Members, the National Association of Securities Dealers, Inc. (NASD) published an FYI alerting members to legislation recently enacted by Congress that authorizes the Securities and Exchange Commission (SEC) to collect a fee (SEC fee) of 1
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is issuing this Notice to Members to remind members that compensation received by members in public offerings of
The use of AI-based applications is proliferating in the securities industry and transforming various functions within broker-dealers. Some large firms have established centers of excellence to review, share, and build expertise and create synergies related to the use of AI across their organizations. In addition, firms are exploring and incorporating AI tools built by financial technology
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
