In accordance with FINRA Rule 4530(d), each member shall report to FINRA statistical and summary information regarding customer complaints in such detail as FINRA shall specify by the 15th day … Continue reading FINRA Rule 4530/Customer Complaint Filing Due Dates (Q3 2012)
In accordance with NASD Conduct Rule 3050, all associated persons shall be required to notify the member firm of the existence of any and all securities accounts maintained by the … Continue reading NASD Rule 3050 Transactions for Associated Persons
FINRA Rule 3270 prohibits any registered person from being an employee, independent contractor, sole proprietor, officer, director or partner of another person, or being compensated, or having the reasonable expectation … Continue reading FINRA Rule 3270 Outside Business Activities
Pursuant to NASD Rule 3040 no associated person of the Company shall participate in a private securities transaction without first obtaining the prior written approval of the member firm. If … Continue reading NASD Rule 3040 Private Securities Transactions of an Associated Person
The national securities exchanges and FINRA (collectively the SROs) together are hosting an industry event to discuss SEC Rule 613 requiring the creation of a Consolidated Audit Trail (CAT). This … Continue reading SRO-Hosted Consolidated Audit Trail Industry Event