WebJan 4, 2011 · Amendments to FINRA Rule 8210 as outlined in Regulatory Notice 10-59 went into effect Wednesday, December 29. 2010. The new mandate is aimed at any FINRA-registered firm that sends physical electronic media to the regulatory body. As stated in the amendments, physical electronic media (CD-ROMs, DVDs, portable hard drives, etc.) … WebSource: FINRA Rule 2111 (Suitability) FAQ, Q5.2; FINRA Regulatory Notice 13‐31; NASD Notice to Members 05‐26. Customer‐Specific Suitability What is the customer‐specific obligation? The customer‐specific obligation requires that a member
SECURITIES AND EXCHANGE COMMISSION Application Fees …
WebJan 13, 2009 · Executive Summary. FINRA reminds firms 1 of their responsibilities to ensure that they comply with the federal securities laws and FINRA rules when participating in … WebFINRA Regulatory Notice 07-59 With the challenges of technological innovations in the area of electronic communications, FINRA issued this Notice to provide guidance to member … the smilist staten island ny
FINRA Releases Notice on Complex Products and …
WebAs outlined in a recent Regulatory Alert for all Members, dated July 6, 2024, the Nasdaq Equity Exchanges, FINRA, and all CAT NMS Plan Participants have entered into an amended plan pursuant to Rule 17d-2 under the Securities Exchange Act of 1934 (the “Rule 17d-2 Plan”) and Regulatory Services Agreements (“RSAs”) to coordinate ... WebJun 22, 2012 · FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee . Pursuant to Section 19(b)(1) of the Securities Exchange Act of 1934 (“Act”), 1. and Rule 19b-4 thereunder, 2. notice is hereby given that on June 13, 2012, the Financial Industry Web2009) (Notice of Filing of File No. SR-FINRA-2009-028). 7 FINRA had also proposed amending then NASD Rule 2340 to change the frequency of the delivery of account … the smilist wantagh ny