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December 8, 2009 karen

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RSS FINRA Notices

  • Information Notice – 1/23/20
    Summary The United States Department of Homeland Security (DHS) has issued a bulletin under the National Terrorism Advisory System summarizing the heightened risk of potential cyber and physical attacks by Iran against the United States.1 This Notice outlines steps firms may consider taking to be prepared and respond to any cyber attacks and other business disruptions […]
  • Regulatory Notice 20-03
    Summary In November 2017, FINRA launched a retrospective review of Rule 5250 (Payments for Market Making), which generally prohibits members from receiving payments for market making, to assess its effectiveness and efficiency.1 The review is part of an ongoing initiative to periodically look back at a rule or set of rules to ensure they remain relevant […]
  • Regulatory Notice 20-02
    Summary FINRA is conducting a retrospective review of Rule 4530 (Reporting Requirements) to assess its effectiveness and efficiency. This Notice outlines the general retrospective rule review process and seeks responses to several questions related to firms’ experiences with this specific rule. Questions concerning this Notice should be directed to:
  • Regulatory Notice 20-01
    Executive Summary FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Statements in E-Bill as well as view the reports that are currently available in Web CRD/IARD for the annual registration renewal process. The payment deadline is January 17, 2020. Please direct questions concerning this Notice to the FINRA […]

RSS SEC Press Releases

  • SEC Charges Portfolio Manager and Advisory Firm with Misrepresenting Risk in Mutual Fund
    The Securities and Exchange Commission today announced charges against a New York-based investment adviser for misleading investors about the management of risk in a mutual fund. Catalyst Capital Advisors LLC (CCA) and its President and Chief…
  • SEC Office of Compliance Inspections and Examinations Publishes Observations on Cybersecurity and Resiliency Practices
    The Securities and Exchange Commission Commission's Office of Compliance Inspections and Examinations (OCIE) today issued examination observations related to cybersecurity and operational resiliency practices taken by market participants…
  • SEC Publishes Annual Reports on Credit Rating Agencies
    Two annual SEC staff reports released today highlight the important work of the Office of Credit Ratings in examining and monitoring nationally recognized statistical rating organizations (NRSROs). The reports indicate that the NRSROs made certain…

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  • IA’s: 2019 Rule 206(4)-7 Annual Review Due NOW
  • Time to Schedule your 1Q19 Rule 3120 Annual Review & 3130 Certification
  • Cybersecurity: Taming the Lion

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