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 Outside Business Activity Review (NASD Rule 3050)
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2011 FINRA Rule 1250
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
http://www.finra.org/AboutFINRA/HolidaySchedule/
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 (Q4 2011)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 12/31/11)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 12/31/11)
FINRA Rule 1160 requires broker/dealers must appoint and certify to FINRA one executive representative to represent, vote, and act on behalf of the broker/dealer in all affairs of FINRA. The … Continue reading Annual FCS Reporting for 2011
MSRB Rule G-40 requires all municipal securities dealers and municipal advisors with an MSRB account to update their primary contact information or affirm that the information is correct within 17 … Continue reading Electronic Mail Contacts (MSRB G-40)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q4 2011)
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250
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
http://www.finra.org/AboutFINRA/HolidaySchedule/
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 1/31/12)
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250
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
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 2/29/12)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending January 31, 2012) SIPC 7
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250
NASD Rule 2711(i) requires that a senior officer of the broker-dealer attest annually to FINRA electronically through the firm Gateway that the broker-dealer has adopted and implemented written supervisory procedures … Continue reading Attestation for Research Supervisory Procedures NASD Rule 2711(i)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 1/31/2012)
http://www.finra.org/AboutFINRA/HolidaySchedule/
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
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 (Q1 2012)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 3/31/12)
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q1 2012)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending February 29, 2012) SIPC 7
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB … Continue reading MSRB Rule G-37 Reporting Requirement
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
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 4/30/12)
http://www.finra.org/AboutFINRA/HolidaySchedule/
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 3/31/2012)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending March 31, 2012) SIPC 7
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
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 5/31/12)
SEC Rule 17a-5(d) requires that FINRA member firms to file an Annual Audited Report electronically with FINRA through the firm Gateway and with the SEC (main office and regional office) … Continue reading Annual Audit Filing Due Date (Period Ending 4/30/2012)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending April 30, 2012) SIPC 7
Regulatory Notice 12-32 notified the membership of the implementation of a revised fee structure for Advertising and Corporate Financing fees effective July 2, 2012.
http://www.finra.org/AboutFINRA/HolidaySchedule/
FINRA Rule 2111 becomes effective on July 9, 2012 and requires a member or an associated person must have a reasonable basis to believe that a recommended transaction or investment … Continue reading FINRA Rule 2111 Suitability
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 Effective Date – 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
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 (Q2 2012)
Regulatory Notice 12-32 notified the membership that effective July 23, 2012 the fees for New Membership Applications will be increased and of the implementation of a fee structure for Continuing … Continue reading Regulatory Notice 12-32
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 6/30/12)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending May 31, 2012) SIPC 7
SEC Rule 606 requires broker/dealers that route orders on behalf of customers to prepare quarterly reports that disclose the identity of the venues to which it routed orders for execution. … Continue reading Disclosure of Order Routing Practices (SEC Rule 606-Formally Rule 11Ac1-6) (Q2 2012)
MSRB Rule G-37 requires each broker, dealer or municipal securities dealer shall, by the last day of the month following the end of each calendar quarter send to the MSRB … Continue reading MSRB Rule G-37 Reporting Requirement
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
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 7/31/12)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 7/31/12)
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending June 30, 2012) SIPC 7
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessments (Year ending January 31, 2012) SIPC 6
http://www.finra.org/AboutFINRA/HolidaySchedule/
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
For more information, click on Topics and or Registration. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program. On-site registrations … Continue reading District Compliance Meeting – District 3A (Denver)
This FINRA District Compliance Conference is located in Fort Lauderdale, FL at the Westin Ft Lauderdale. For more information, click on Topics and or Registration. Space is limited and available … Continue reading District Compliance Meeting – District 7 (Boca Raton)
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 8/31/12)
In accordance with SEC Rule 17a-5(a)(2)(ii)-(iii), each broker/dealer registered pursuant to section 15 of the Act who clears transactions or carries customer accounts shall file Part II of Form X-17 … Continue reading Monthly & Fifth’ FOCUS IIA Filings (Month ending 8/31/12)
This Compliance Conference is located in Austin, Texas at the Hilton Austin. For more information, click on Topics and or Registration. Space is limited and available on a first-come, first-served … Continue reading District Compliance Meeting – District 6 (Dallas)
The Dodd-Frank Investor Advisory Committee will meet at the SEC Headquarters in Washington DC, from 10AM till 4PM. See the Notice for more information on the agenda.
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 7 General Assessment … Continue reading SIPC Assessments (Year ending July 31, 2012) SIPC 7
Members of SIPC are required to pay an assessment of .0025 of SIPC Net Operating Revenue as defined by the SIPC By Laws Article VI. The SIPC 6 General Assessment … Continue reading SIPC Assessments (Year ending February 29, 2012) SIPC 6
FINRA Rule 1250 requires all covered registered persons (any person registered with a member who has direct contact with customers in the conduct of the member's securities sales, trading and … Continue reading Firm Element Continuing Education Plan 2012 FINRA Rule 1250
The SIFMA Municipal Bond Summit is located at the Conrad New York, New York, NY. For more information, click on Conference Information.
Effective October 1, 2012, the Trading Activity Fee (TAF) rate for transactions in covered security futures will decrease from $0.04 for each security futures contract traded on a round-turn basis … Continue reading Effective Date: Amended TAF Rates for Transactions in Covered Security Futures
FINRA posted an Election Notice to inform FINRA small firm members of the upcoming Small Firm Advisory Board (SFAB) election. Two seats on the SFAB are up for election: the North … Continue reading Small Firms Advisory Board Election – Nomination Deadline
This FINRA District Compliance Conference is located in Woodbury, NY at Fox Hollow. For more information, click on Topics and or Registration. Space is limited and available on a first-come, … Continue reading District Compliance Meeting – District 10 (Long Island)
This FINRA Half Day Compliance Boot Camp is located at the FINRA Philadelphia District Office. For more information, click on Topics and Registration.
In Regulatory Notice 12-39, FINRA requested comments on two issues relating to the dissemination of information on TRACE-eligible securities transactions. First, FINRA seeks input on whether it should maintain or modify … Continue reading Comment Period Expires – Trace Disseminiation Issues
For more information, click on Topics and or Registration. Space is limited and available on a first-come, first-served basis. Registration closes one business day prior to each program. On-site registrations … Continue reading District Compliance Meeting – District 2 (Los Angeles)
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
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
This FINRA District Compliance Conference is located in Coral Gables, FL at The Westin Colonnade. For more information, click on Topics and or Registration. Space is limited and available on … Continue reading District Compliance Meeting – District 7 (Boca Raton)
This FINRA District Compliance Conference is located in Morristown, NJ at the Hyatt Morristown. For more information, click on Topics and or Registration. Space is limited and available on a … Continue reading District Compliance Meeting – District 9B (Woodbridge)
This FINRA District Compliance Conference is located in New York, NY at Bayard’s One Hanover Square. For more information, click on Topics and or Registration. Space is limited and available … Continue reading District Compliance Meeting – District 10 (New York)
FINRA reminds member firms that any person identified by a member firm as a Day-One Operations Professional who must pass the Series 99 or other appropriate qualification examination to qualify … Continue reading Deadline for Qualifiying for Day One Operations Principal
Date: October 22 - 24, 2012 The NSCP National Membership Meeting is located at the Washington Hilton, Washington, DC. For more information, click on Agenda and or Conference Information.
In accordance with SEC Rule 15c3-1, each broker/dealer registered pursuant to section 15 of the Act must have evidence of the computation of net capital monthly. That computation should be completed … Continue reading Monthly Net Capital Computation (Month ending 9/30/12)
The SIFMA 2012 Annual Meeting is located at the New York Marriott Marquis, New York, NY. For more information on the conference please click on Conference Information.