January 2008
FINRA is conducting a review of the policies, procedures and controls with respect to information barriers. To facilitate this review, FINRA requests a copy of the following information and/or documentation:
Organizational charts for the firm's investment banking department (or equivalent department, i.e. financial advisory department) and compliance
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of July 20, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASTR.GA
All Star Gas Corp
11.000
08/14/01
AIQ.GA
REVISED — SUPERSEDES NTM 01-041
INFORMATIONAL
Rules For Arbitrator Challenges
Effective Date: March 8, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Arbitration
Arbitrator Challenges
Executive Summary
On December 8, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities
INFORMATIONAL
Rules For Arbitrator Challenges
Effective Date: February 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Arbitration
Arbitrator Challenges
Executive Summary
On
INFORMATIONAL
Restrictions On Unregistered Persons
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
Cold Calling
Telemarketing
Unregistered Persons
Executive Summary
In light of recent federal law, NASD Regulation, Inc. (NASD RegulationSM) has withdrawn its rule
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
Investment fraud comes in many forms, often involving opportunities and offers that seem compelling. To avoid being drawn into a scam, keep your guard up and look for warning signs before you commit to an investment.
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from FINRA and using the domain name “@gateway-finra.org.” The email asks the recipient to click a link to “view request” and provide information to “complete” that request, noting that “late submission may attract penalties.”
FINRA recommends that
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
