GUIDANCE
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission has approved amendments
to the arbitrator classification criteria set forth in Rule 10308 of
the NASD Code of Arbitration Procedure (Code) to ensure that
individuals with significant ties to the
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
Good morning. It’s great to have this opportunity to be with you today.
My colleague in Member Regulation, Sales Practice, Mike Rufino, will be talking about FINRA’s regulatory and examination priorities during the next session, so I won’t steal Mike’s thunder and tell you everything that he is going to say. Rather, I want to take a step back and take this opportunity to talk about something
Upcoming Election to Fill FINRA District Committee Vacancies
A member is not an "affiliated member" of an insurance company for purposes of Rule 2820(g)(4)(D) where no control relationship exists between the entities.
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
GUIDANCE
Safeguarding Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
New Technology
Privacy
Protection of Customer Information
Executive Summary
NASD members are required to maintain policies and procedures that address the protection of
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
The Report on FINRA’s Examination and Risk Monitoring program is an important reference document addressing more than 20 topics of interest for firms and regulators. On this episode, we talk to three members of the Member Supervision team about some key highlights and how firms can use this extensive document.
INFORMATIONALBorrowing From and Lending to CustomersEffective date: February 18, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementBorrowing From and Lending to CustomersRule 2370Executive SummaryOn August 29, 2003, the Securities and Exchange Commission (SEC) approved the adoption of NASD Rule 2370, prohibiting registered
