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Notice to Members 04-10
INFORMATIONALMembership Application and Continuation RulesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceMembershipSenior ManagementNew Membership ApplicationsContinuing Membership ApplicationsRule 1011Rule 1014Rule 1017Pending Arbitration Awards and ClaimsExecutive SummaryOn December 22, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rules 1011, 1014, and&
Information Notice – 7/17/20
FINRA is issuing this Information Notice to inform members of a scheduled industry presentation by the Cross Market Regulation Working Group (CMRWG) and FINRA CAT regarding SRO regulation of Consolidated Audit Trail (CAT) Compliance Rules and FINRA CAT’s role in CAT compliance. Please see the attached ISG CMRWG Regulatory Notice 2020-02 that was issued by the participants of the ISG CMRWG.
Regulatory Notice 07-51
Minor Rule Violation Plan Regulatory Notice Notice TypeRule Amendment Referenced Rules & NoticesNASD IM-9216 NASD Rule 9216 NYSE Rule 476A SEC Rule 19d-1(c)(2) Suggested Routing Compliance Legal Operations Registered Representatives Senior Management Key Topic(s)Minor Rule Violation Plan (MRVP) Executive Summary Effective September 24, 2007, the list of violations eligible for
Notice to Members 99-96
INFORMATIONAL Employment Arbitration Rules Effective Date: January 18, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Arbitration Discrimination Employment 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
Notice to Members 99-32
Comment Period Expires May 31, 1999 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 Representatives Registration
Notice to Members 06-38
GUIDANCE Life Settlements SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Retail Senior Management Variable Life Settlements Variable Insurance Policies Suitability Best Execution Rule 3010 Executive Summary Sales of existing life insurance policies to third parties—often referred to as "life settlements"—have grown exponentially in recent years, and
Notice to Members 99-03
Effective March 15, 1999 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 Representatives Registration Research
Information Notice - 11/21/22
Summary The national options exchanges are closing at 1:00 p.m. Eastern Time (ET) on Friday, November 25, 2022 (the Friday after Thanksgiving), which will modify the exercise cut-off time for expiring options. FINRA reminds firms that, pursuant to FINRA Rule 2360(b)(23)(A)(viii), if a national options exchange or The Options Clearing Corporation announces a modified time for the close of trading
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
Frequently Asked Questions about Residential Supervisory Locations (RSLs)
Frequently Asked Questions (FAQs) about RSL designations, including, among others, reporting and compliance, conditions and recordkeeping.