(a) A member or an associated person must have a reasonable basis to believe that a recommended transaction or investment strategy involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the member or associated person to ascertain the customer's investment profile. A customer's investment profile includes,
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Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that Susan Merrill, who has headed Enforcement at FINRA and one of its predecessor organizations for more than five years, is stepping down to return to private practice.
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Officers * Partners * Proprietors Operations and P&S Department Managers
TO: ALL NASD Members
In its Notice to Members 84-55 dated October 15, 1984, the Association announced plans to implement a NASDAQ Equity Audit Trail and detailed the seven phases to be followed for completion of the plan. As described in that notice, Phase I involves the collection of additional
New York, NY and Washington, DC - The Better Business Bureau (BBB) of Metropolitan New York and the Financial Industry Regulatory Authority (FINRA) today launched a resource for workers experiencing job loss as a result of corporate mergers, layoffs or closings. The information is designed to help workers make sound financial decisions regarding their personal finances, retirement funds and other severance pay during periods of unemployment.
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or disqualified
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or disqualified member
On This PageOverviewBackgroundDelivery MethodsLicense Types and PricingAccess to FLEXFINRA E-Learning CoursesEarn CFP CreditsOverviewFinancial Learning Experience™ (FLEX™) is a centralized continuing education (CE) platform that provides e-learning content that firms have the option to leverage for their Firm Element or other training needs.By delivering Firm Element training via the FLEX
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May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year cycles, the next examination for some firms will be
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today announced that it has signed an agreement with the Chicago Board Options Exchange® (CBOE®) and C2 Options Exchange (C2) to provide market surveillance, financial surveillance, examinations, investigations, and disciplinary services to CBOE and C2, in addition to other regulatory services. FINRA, the independent, non-
