SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Registration
Systems
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Board of Governors has approved changes to Schedule A of the NASD By-Laws affecting the Central Registration Depository (CRDSM) fee structure. The
Reminder to NASD Members – Transactions with NASD and American Stock Exchange Employees; Filing of Annual Attestation Required by Rule 2711 – Research Analysts and Research Reports
New Criteria and Process for Candidates Whose Primary Language Is Not English to Receive Additional Time to Complete a Qualification Examination or Continuing Education Session
Effective Date: February 15, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
On December 31, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (
SEC Approves Amendments to the Trading Activity Fee and FINRA Announces Publication of Frequently Asked Questions
New Implementation Date for and Additional Guidance on the Consolidated FINRA Rules Governing Know-Your-Customer and Suitability Obligations
The Suitability for Retail Customers section of the 2018 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.
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
<p>Short sales by options professionals established during the course of bona fide market making activities are exempt from the affirmative determination requirements, regardless of whether the short sales constitute a permitted offset under Regulation T.<br />
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