INFORMATIONAL
Operations
Effective Date: September 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
ACATS Rules
Uniform Practice Code
Executive Summary
On September 12, 2001, the Securities and Exchange Commission (SEC) approved amendments to National Association
FINRA Amends Rule 4530 to Eliminate Duplicative Reporting and Provide the Option to File Required Documents Online Using a New Form
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Continuing Education
Planning
Summary
FINRA reminds member firms about requirements when using predispute arbitration agreements for customer accounts. Where member firms use mandatory arbitration clauses in their customer agreements, FINRA rules establish minimum disclosure requirements regarding the use of such clauses and prohibit predispute arbitration agreements from including conditions that, among other things, limit
INFORMATIONAL
Trading Obligations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Trading & Market Making
Best Execution
Firm Quote Compliance
Locked/Crossed Markets
Executive Summary
As more derivative instruments overlay securities listed on The Nasdaq Stock Market ("Nasdaq") and more Nasdaq-listed securities are included in broad-based
SUGGESTED ROUTING
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Exemptive relief is granted based on representations that: the MFP/MAP made the contribution during a period of retirement prior to his employment as an MFP/MAP; the Firm discovered the contribution through its pre-employment due diligence process; the MFP/MAP requested a refund of the contribution; the Firm hired the MFP/MAP for reasons unrelated to the contribution; the Firm has a long-standing relationship with the City ; the contribution was not related to any business with the City; and the MFP/MAP will be prohibited from involvement in municipal securities and municipal advisory business with the City for a period of time.
Remarks From the National Compliance Outreach Program for Broker-Dealers
