The Law of the Financial Markets from Top Securities Lawyers
Tuesday, September 10, 2024
FINRA has issued a warning to member firms of an ongoing phishing campaign that involves fraudulent emails purporting to be from FINRA and using the domain name “@gateway-finra.org.” The email asks the recipient to click a link to “view request” and provide information to “complete” that request, noting that “late […]
Firms must check the site themselves – Notice to Members 00-35 By Mark J. Astarita, Esq. NASD Notice to Members 00-35 NASD Regulation Reminds Firms Of CRD Continuing Education Notification Method And Informs Firms To Review Written Supervisory Procedures NASD firms are reminded that the Web CRD no longer […]
NTM 02-10 Seeks Comment on Streamlining and Eliminating Certain Rules Simplifying, or even removing, regulations in this industry is a goal that every registrant will be happy to hear about. Earlier last year the NASD has announced that it is conducting a comprehensive review of its rules to ensure […]
Ed. This page discusses the original NASD proposal in 1997 for registration of cold callers. and is presented for historical purposes. FINRA’s telemarketing rule is Rule 3230. Today, basically all cold callers are required to be registerd with FINRA. FINRA’s Registration and Qualification Rules are in the Rule 1200 series. […]
