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Beginning October 1, 2018
FINRA is restructuring its representative-level qualification exam program by creating the Securities Industry Essentials (SIE or Essentials) exam and revising the representative-level qualification exams.
The program is being restructured to:
Reduce duplicative testing of general
New System for Processing Regulation T and SEA Rule 15c3-3 Extension of Time Requests
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Service on Each Party
An order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the Rule 9200 Series shall be served on
(a) Service on Each Party
An order, notice, or decision issued by a Hearing Officer, Hearing Panel or Extended Hearing Panel under the Rule 9200 Series shall be served on each Party, or each Party's counsel, or other person the Party designates to represent him or her in a proceeding by the Office of Hearing Officers. An order, notice, or decision issued by any other Adjudicator shall be
Year 2000 Countdown
As 1999 winds down, Year 2000 issues will receive increased focus as public attention to these issues increase and companies in virtually every industry accelerate efforts to meet Year 2000 compliance deadlines. During this critical period, the securities industry will heighten its focus on regulatory compliance, investor communication, Year 2000 testing, and contingency
INFORMATIONAL
Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT
Implementation Date: March 24, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registered Representatives Registration Senior Management Training
Web EFT
Executive Summary
NASD announces the implementation of Web EFT, a new, secure Web-
GUIDANCE
Outsourcing
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Due Diligence
Outsourcing
Supervisory Responsibilities
Third-Party Service Providers
Executive Summary
NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to
1 This paper is not intended to express any legal position and does not create any new requirements or suggest any change in any existing regulatory obligations, nor does it provide relief from any regulatory obligations. While this paper summarizes key findings from FINRA’s outreach and research on the use of cloud computing in the securities industry, it does not
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
FINRA Registration Systems Foundation Virtual Training Schedule & How to Register
