FINRA Rule 3110(b)(5): Review of Customer Complaints FINRA Rule 3110(b)(6): Documentation and Supervision of Supervisory Personnel FINRA Rule 3110(b)(7): Maintenance of Written Supervisory Procedures It's essential for firms to document who oversees each review, the supervisory tasks to be c...
FINRA is proposing certain rules specific to FINRA members, including (1) an obligation of the member under FINRA Rule 3110 to take reasonable steps to ensure that the Reporting Agent is complying with SEC Rule
SEC, FINRA, DOJ and CFTC Rules & Regulations Summary Rule 17a-4, Books & Records, Investment Advisors Act, FINRA Rule 3110 & 3120 and more.
The report also emphasizes that firms that participate in extended-hours trading must continue to comply with other applicable Securities and Exchange Commission (SEC) and FINRA rules, including Rules 5310 (best execution) and 3110 (supervision). Areas of concern observed by ...
Exchange Act Rules 17a-3 and 17a-4, FINRA Rule 3110(b)(4) and FINRA Rule Series 4510 With reps working from home with new collaboration, conferencing and messaging tools consistently being introduced, the existing Books and Records Rules are introduced to new complexities. FINRA has reiterated ...
in violation of Article IV, Section 8(a) and (b) of FINRA's By-Laws, NASD Rule 3010(a)(3) and FINRA Rules 3110(a)(3) and 2010. Zipper also failed to inspect the Caracas branch office in violation of NASD Rule 3010(c)(1)(B) and FINRA Rule 3110(c)(1)(B) and FINRA Rule ...
During the period April 2016, through March 2018, Restrepo also failed to reasonably establish, maintain, and enforce a supervisory system reasonably designed to achieve compliance with Section 5 of the Securities Act of 1933. As a result, Restrepo violated FINRA Rules 3110(a) and (b) and 2010...
If the ranking or comparison is generally published or is the creation of an independent entity (e.g., Lipper or Morningstar), what rules apply? the usual filing rules for filing will apply (i.e., within 10 business days of first use [post-filing]) ...
Broker-Dealer Compliance Officers and Counsel Take Note: NEW FINRA SUPERVISION RULES APPROVED BY SEC * Frequency. New FINRA Rule 3110(c)(1), like present NASD Rule 3010, requires members to inspect OSJs and supervisory branch offices every calendar year an... ED December 被引量: 0发表: 0...
maintain and preserve inaccurate books and records in violation of Section 17(a) of the Exchange Act and SEC Rules 17a-3 and 17a-4 thereunder, and NASD Rules 2110 and 3110; aid and abet a violation of Section 15(a)(1) of the Securities Exchange Act of 1934 by permitting a person no...