ACTION REQUIRED
Expense-Sharing Agreements
SUGGESTED ROUTING
KEY TOPICS
Accounting
Executive Representatives
Internal Audit
Legal & Compliance
Operations
Senior Management
Expense-Sharing Agreements
Net Capital
Recordkeeping
SEC Rule 15c3-1
SEC Rules 17a-3, 17a-4, and 17a-5
Executive Summary
On July 11, 2003, the
Summary
FINRA will conduct a Special Meeting of large firms on Monday, October 31, 2022, at 9:00 a.m. ET in the FINRA Visitors Center at 1735 K Street, NW, in Washington, D.C. The purpose of the meeting is to elect one individual to fill a Large Firm Governor seat on the FINRA Board of Governors (Board).1
It is important that all eligible large firms be represented by proxy or in person at the
TO: All NASD Members and Other Interested Persons
On March 17, 1986, several amendments to SEC Rule 10b-10, the customer confirmation rule, will become effective. The amendments will require broker-dealers to report on customer confirmations trade prices and mark-ups and mark-downs in principal transactions in reported securities. "Reported securities" include NASDAQ National Market
FINRA has created this page to provide information for the small firm community—those firms with 150 or fewer registered representatives. This page contains current and past communications, links of interest to small firms, and other information.
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD's
Firms Elect Wendy Lanton as Small Firm Governor, Re-Elect Jim Nagengast as Large Firm Governor
WASHINGTON – FINRA announced today the results of its election of two Governors to its Board of Governors. At today’s Annual Meeting of FINRA firms, small firms elected Wendy Lanton, Chief Operations/Compliance Officer, Lantern Investments, Inc., as a Small Firm Governor. Large firms re-elected Jim
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TO: Selected NASD Members
Under the AT & T divestiture program, for every ten shares of existing ("old") AT & T owned, shareholders of record December 30, 1983 will receive one share in each of seven newly-formed regional holding companies, while continuing to own ten shares of divested ("new") AT & T as well.
Beginning Monday, November 21, 1983,
December 4, 2000NASD Regulation reminds firms that they must incorporate OATS into their Written Supervisory Procedures regardless of whether they are transmitting OATS data for themselves or if another entity is reporting on their behalf. Additionally, if another entity is reporting on behalf of the firm, the firm should have a copy of the written agreement with that entity, which specifically
