WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that Gerri Walsh has been named President of the FINRA Investor Education Foundation and head of FINRA's Investor Education division.
WASHINGTON — Cybersecurity, investing by seniors, and other regulatory topics of interest will be discussed when the Securities and Exchange Commission (SEC) and Financial Industry Regulatory Authority (FINRA) hold their National Compliance Outreach Program for Broker-Dealers on July 27.
Registration opened today for the program, which is designed to provide an open forum for regulators and
Comment Period Expires March 31, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceRegistrationTrading
Executive Summary
At its January 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on amendments to the foreign associate provisions in Part X of Schedule C to the NASD By-Laws. These amendments would
ACTION REQUIRED
SOES Order Sizes
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Systems
Trading
SOES Maximum Order Sizes
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 structure.
Executive Summary
Effective January 10, 2000, the maximum
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that the National Adjudicatory Council (NAC) revised the Sanction Guidelines to include a new principal consideration that contemplates coverage for financial exploitation of vulnerable individuals or individuals with diminished capacity. It also includes three new guidelines relating to systemic supervisory failures
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of the 48 contiguous
On June 28, 2002, NASD filed with the SEC a rule change to establish November 6, 2002, as the effective date for certain provisions of NASD Rule 2711. This rule change was effective immediately upon filing. First, the rule change establishes, subject to certain conditions, November 6, 2002, as the effective date for Rules 2711(b) and (c) for members that over the previous three years, on average
Reports Assess Rules on Communications With the Public and Gifts, Gratuities and Non-Cash Compensation
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) issued two Retrospective Rule Review Reports assessing, respectively, the effectiveness and efficiency of
Retrospective Rule Review Report: Communications with the Public
and
Rule 4111 Compliance Tool – Lists of Expelled FirmsFINRA Rule 4111 (Restricted Firm Obligations) requires member firms that are identified as Restricted Firms to deposit cash or qualified securities in a segregated, restricted account; adhere to specified conditions or restrictions; or comply with a combination of such obligations. Rule 4111 establishes a multi-step, annual process through which
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has selected J. Bradley Bennett, a partner at the law firm Baker Botts in Washington, DC, as its new head of Enforcement. Bennett will start at FINRA on January 1 and takes over from James Shorris, who has been acting Chief of Enforcement since Susan Merrill departed the organization last March.
