Comment Period Expires: January 15, 1999
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registered Representatives
Registration
Training
NASD Regulation Request For Comment 98-101
Executive Summary
NASD Regulation, Inc. (NASD Regulation SM) is proposing to amend disclosure questions on the Form U-4 and Form U-5 that were approved by the Securities and
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of January 11, 1990, the following 18 issues joined NASDAQ/NMS, bringing the total number of issues to 2,694:
Symbol
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of December 12, 1989, the following 33 issues joined the NASDAQ National Market, bringing the total number of issues to 2,713
As prepared for delivery.
Good morning.
Money laundering is not a new issue for the securities industry. In fact, it has been listed in every FINRA annual regulatory priorities letter issued over the past 11 years. Many of the issues we've focused on over the years remain areas of focus in 2016. For example, we've addressed risk on many occasions. In 2009, we reminded firms to ensure
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of September 14, 1989, the following 13 issues joined the NASDAQ National Market, bringing the total number of issues to 2,727
The OATS Rules require member firms to report to FINRA order information for NASDAQ-listed equity securities. Beginning February 4, 2008, the OATS Rules apply to OTC equity securities. Initial public offerings (IPOs), secondary offerings, Direct Participation Programs (DPPs), "restricted securities", as defined by SEC Rule 144(a)(3) under the Securities Act of 1933, and any securities
ORF Data Delivery Plus Fee
FINRA assesses the ORF Data Delivery Plus service fee per each MPID that the firm enrolls in the service. The firm's monthly fee is based on:
the average number of transactions the MPID was a party to* per month over the prior calendar year, which is used to categorize the MPID in one of 4 tiers, and
the number of "Plus" reports (reports for dates
Representatives of broker-dealers, investment advisers or issuers of securities must be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs).
fileX is a centralized, secure file transfer platform where firms can send, track and receive files in one place. fileX significantly streamlines the process for submitting bulk filings to FINRA, provides additional options for submitting those filings to FINRA, and allows for seamless authentication and authorization. fileX will eventually replace the different legacy file transfer methods in use today.
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
