Search results with tag "Regulatory notice"
Regulatory Notice 15-22 - finra.org
www.finra.org2 Regulatory Notice 15-22 aiug‘’•š To help FINRA process comments more efficiently, persons should use only one method to comment on the proposal. Important Notes: All comments received in response to this Notice will be made available to the public on the FINRA website.
Regulatory Notice 17-32 - finra.org
www.finra.orgSales Practice Obligations Relating to Volatility-Linked ETPs As detailed in Regulatory Notice 12-03, products that offer retail investors exposure to stock market volatility, such as volatility-linked ETPs, are “complex” products.
Regulatory Notice 12-29 - finra.org
www.finra.orgRegulatory Notice 3 2eRu 12-29 Incorporated NYSE Rule 472 requires an “allied member, supervisory analyst or qualified person” to approve prior to use each advertisement, sales literature or other similar type of
Regulatory Notice 15-33 - finra.org
www.finra.orgRegulatory Notice 3 9l0yl6l8a 15-33 Financial Responsibility Rules A fundamental purpose of the SEC’s financial responsibility rules is to assure that broker-
Regulatory Notice 15-30 - finra.org
www.finra.orgRegulatory Notice 5 e595o3R•‘’† 15-30 primarily responsible for preparation of the substance of a research report. The committee may not have representation from a member’s investment banking department.
Regulatory Notice 16-18 - finra.org
www.finra.orgRegulatory Notice 3 6R†“‘ 16-18 The educational communication is intended to prompt a former customer to make further inquiries of the transferring representative (and, if necessary, the customer’s current firm),
Regulatory Notice 11-39 - finra.org
www.finra.orgRegulatory Notice 3 August 2011 11-39 3. Links to Third-Party Sites Firms may not establish a link to any third-party site that the firm knows or has reason to
Regulatory Notice 13-45 - finra.org
www.finra.org2 Regulatory Notice 13-45 uul5uyg Each choice offers advantages and disadvantages, depending on desired investment options and services, fees and expenses, withdrawal options, required minimum
Regulatory Notice 11-52 - finra.org
www.finra.org2 Regulatory Notice 11-52 November 2011 2011 Senior Designation Survey To better understand the use and oversight of senior designations, in January 2011, FINRA
Regulatory Notice 17-40 - finra.org
www.finra.orgThis Notice provides guidance to member firms regarding their obligations under FINRA Rule 3310 in light of the adoption of FinCEN’s CDD Rule. In addition, the Notice summarizes the CDD Rule’s impact on member firms, including the addition of the new fifth pillar
Regulatory Notice 16-22 - finra.org
www.finra.org2 Regulatory Notice 16-22 rtR‚ Obligations of Associated Persons Prior Written Consent Requirement FINRA Rule 3210 requires that an associated person5 …
Regulatory Notice 17-18
www.finra.orgThere are exceptions. Regulatory Notice 10-06 states that third-party posts on a firm or associated person’s business website may constitute communications with the public by the firm or an associated person under Rule 2210 if the firm or an associated person has
Regulatory Notice 18-08 - finra.org
www.finra.orgTo help FINRA process comments more efficiently, persons should use only one method to comment. Important Notes: All comments received in response to this Notice will be made available to
Regulatory Notice 17-16 - finra.org
www.finra.orgExecutive Summary FINRA seeks comment on proposed amendments to FINRA Rule 2241 (Research Analysts and Research Reports) and FINRA Rule 2242 (Debt Research
Regulatory Notice 07-59 - finra.org
www.finra.orgSupervision of Electronic Communications FINRA Provides Guidance Regarding the Review and Supervision of Electronic Communications ExecutiveSummary
Regulatory Notice 17-30 - finra.org
www.finra.orgSummary The Securities and Exchange Commission (SEC) approved a proposed rule change to: (1) adopt consolidated FINRA registration rules;1 (2) restructure the representative-level qualification examinations by creating a general