SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Trading
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
REQUEST FOR COMMENT
Supervision Rules
Comment Period Expires: October 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Rule 3010
Supervisory Systems
Executive Summary
NASD requests comment on proposed amendments to Rule 3010 (Supervision) to require members to adopt heightened supervision plans for those
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.
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
Registered financial professionals, like many of us, move on to new job and career opportunities for a number of reasons. FINRA requires brokerage firms to deliver an educational communication to former customers who are contacted about transferring their assets when their financial professional changes from one broker-dealer to another.
WASHINGTON – FINRA today published its
Report on Selected Cybersecurity Practices - 2018
, a detailed review of effective information-security controls at securities firms. The report represents the newest initiative in FINRA’s ongoing effort to help broker-dealers – including small firms – further develop their cybersecurity programs.
“Securities firms rate
On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
Washington, D.C. — The FINRA Investor Education Foundation has awarded a grant of $484,000 to the University of California, Los Angeles (UCLA) to explore how individual investors are managing the risk of outliving their retirement savings, and how annuities could provide a solution to the problem.Formerly known as the NASD Investor Education Foundation, the FINRA Investor Education Foundation was
As previously announced in Nasdaq Equity Trader Alert # ETA2018-63, effective September 1, 2018, a new category of participant on the FINRA/Nasdaq Trade Reporting Facility (or “FINRA/Nasdaq TRF”)1 was established for purposes of trade reporting fees under FINRA Rule 7620A – the Retail Participant. The Retail Participant Program is designed to better align and tailor retail pricing to the profile
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that Steven J. Randich, currently Citigroup’s Co-Chief Information Officer (CIO), will join the organization as Executive Vice President and CIO. Randich will oversee technology at FINRA, as well as FINRA’s Registration and Disclosure division. Randich will start at FINRA on March 11.
