(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1)
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and
2023 FINRA Senior Investor Protection Conference Session Recordings
(a) A FINRA member operating in or participating in any FINRA system or facility shall provide information orally, in writing, or electronically (if such information is, or is required to be, maintained in electronic form) to the staff of FINRA when FINRA staff makes an oral, written or electronically communicated request for information relating to a specific FINRA rule, SEC rule, or
March 24, 2005
NASD has recently made several changes to the OATS Compliance Sweeps that are conducted by the Market Regulation Department. The following list highlights some of the more significant sweeps conducted by the Market Regulation OATS Team and the changes that have been implemented recently for each type of review. Members should note that the following is not a comprehensive list
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Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Cover Letter From FINRA President and CEO, Robert Cook
January 4, 2017
Today, FINRA is publishing its
2017 Regulatory and Examination Priorities Letter
(the Priorities Letter). This letter provides
Board Approves Allocations of 2019 Fines and Proposed Trade-Reporting Fees Related to Treasury Securities
WASHINGTON – FINRA’s Board of Governors met on March 11 for the first time in 2020. During the meeting, held remotely in light of the coronavirus outbreak, the Board discussed a variety of topics, including FINRA’s long-term planning and financial sustainability. As is now customary for the
GUIDANCE
Credit Extension/Day Trading Requirements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Day Trading
Margin Requirements
Regulation TRule 2520
Executive Summary
On March 11, 2004, NASD announced a disciplinary action that resulted in a $10 million fine against three firms for improperly
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved several proposed rule changes by the NASD concerning trading in exchange-listed securities by NASD Consolidated Quotation System (CQS) market makers.1 Specifically, the following rules will be effective on October 31, 1994:
All CQS market
The market for crypto assets has seen continued growth and firms are looking for ways to get involved in the digital asset space. So far, about two dozen firms have been approved by FINRA to provide services in securities backed by digital assets. And more firms are looking to follow in their footsteps. On this episode, we hear about some common sticking points in these new and continuing member applications and how FINRA is working to support innovation while protecting investors in this dynamic environment.
