Comment Period Expires October 14, 1994
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Senior ManagementLegal & Compliance
An Open Letter To Members Of The Financial Services Industry Regarding Compensation Of Retail Brokers And Their Supervisors August 29, 1994
As you may be aware, Securities and Exchange Commission Chairman Arthur Levitt asked us to serve on a committee to examine the securities industry's
Heyman to succeed Jack Brennan effective July 18
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors has unanimously elected as FINRA Chairman William H. Heyman, Vice Chairman and Chief Investment Officer of The Travelers Companies, Inc., effective July 18. Heyman earlier served as a member of the FINRA Board from January 2004 through September 2016.
Heyman
WASHINGTON, D.C.— In a year when a pandemic gripped the world, beginning and experienced retail investors flocked to the stock market using taxable, non-retirement investment accounts, according to new research by the FINRA Investor Education Foundation (FINRA Foundation) and NORC at the University of Chicago.
The study, Investing 2020: New Accounts and the People Who Opened Them, found that
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today issued What to Expect When You Open a Brokerage Account, a step-by-step guide to help investors opening new investment accounts.
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Executive Summary
On October 14, 1998, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) relating to the selection of arbitrators.1 The arbitrator list selection rules and related amendments to the Code of Arbitration Procedure will be
Upcoming FINRA Board of Governors Election
ACTION REQUIRED
Broker/Dealer and Investment Adviser Renewals
Payment Deadline: December 5, 2003
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Executive Representatives
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Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
Executive Summary
The
ACTION REQUESTED
Taping Rule
Comment Period Expires: July 25, 2001
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KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Public Disclosure ProgramRule 3010
Supervision
Taping Rule
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to Rule 3010(b)(2), commonly referred to as the Taping Rule.
In 1998, NASD
Reporting Asset-Backed Securities to the Trade Reporting and Compliance Engine (TRACE)
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Senior ManagementLegal & ComplianceOperationsRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1991-92 NASD broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to assist members in reviewing, reconciling, and responding
