Displaying 861 - 870 of 1654 Results
Year 2000 Update Reminder To Members About SEC Filing Requirements
The Securities and Exchange Commission (SEC) recently amended its Rule 17a-5 to require all broker/dealers to file two reports concerning Year 2000, using Form BD-Y2K (Form). All members received this information available through NASD Special Notice to Members 98-63.
The new reports relate to each member's readiness and
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 28 of the NASD Rules of Fair Practice requiring an associated person to notify the employer member in writing
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that J. Bradley (Brad) Bennett will leave FINRA early next year. Bennett has served as FINRA’s Chief of Enforcement for nearly six years, overseeing 300 enforcement staff in 14 district offices across the United States responsible for investigating potential violations of FINRA rules and securities laws. Susan
Linde Murphy Re-Elected as Small-Firm Governor
Moira Kilcoyne and Fabiola Arredondo Appointed as New Public Governors
Camille Busette and Ethiopis Tafara Re-Appointed as Public Governors
WASHINGTON – The FINRA Board of Governors elected current FINRA Public Governor Eric Noll as its next Chair. Noll succeeds Eileen Murray, whose term on the Board and service as Chair concluded at the Aug. 19
FINRA Firm Grouping Conference is a one-day conference designed to provide financial professionals associated with FINRA member firms the opportunity to engage in key discussions with FINRA staff and connect with industry leaders and peers. The conference includes thoughtful discussions around the future landscape of the financial services industry. In-person attendees have access to breakout
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning important organizational or operational changes, such as mergers with or acquisitions of
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning important
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
During this session, FINRA senior staff provide an update on key regulatory issues.
SEC Approves Amendments to Require Firms to Add a No-Remuneration Indicator in TRACE Trade Report