For Your Information
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. reminds member firms of their obligation to file the appropriate Web-Based FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by the specified due dates. The following schedules outline due dates for
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) issued two new Regulatory Notices as part of an initiative to conduct retrospective rule reviews on an ongoing basis.
WASHINGTON—The Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and FINRA today announced the opening of registration for a virtual Compliance Outreach Program for Municipal Advisors. The webcast program will be held Thursday, August 13, 2020, from 1 p.m. to 3 p.m. ET. Additional information, including the agenda, is available on SEC.gov.
The program will
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
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Senior Management
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Executive Summary
On July 3, 1997, in Release No. 34-38812 (SEC Release), the Securities and Exchange Commission (SEC) approved new NASD®Rule 2460 (Rule), which explicitly prohibits any payment by issuers or the issuers' affiliates and promoters, directly or
WASHINGTON—The Financial Industry Regulatory Authority (FINRA) announced that Mike Rufino will become Head of Member Regulation – Sales Practice, and Bill Wollman will become Head of Member Regulation – Risk Oversight and Operational Regulation (ROOR).
Executive Summary
As members are aware, abusive communications between members and their associated persons with customers or associated persons of other members is considered conduct that is inconsistent with the requirement that members shall observe high standards of commercial honor and just and equitable principles of trade as contained in NASD's fundamental rule of ethical practice--
Board Approves Annual Financial Report, Enforcement Digital Transformation Initiative and Three Rulemaking Items
WASHINGTON – FINRA's Board of Governors met virtually on June 10 and 11. During the meeting, the Board approved three rulemaking items and approved the organization's Annual Financial Report, which FINRA issues each year to provide transparency regarding its finances. The
Notice of SFAB Election
and Ballots
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) today issued a new investor alert called Cold Calls From Brokerage Firm Imposters-Beware of Old-Fashioned Phishing to warn investors of cold calls from scammers falsely claiming to be representatives of at least one well-known brokerage firm.
