WebSep 2, 2024 · Like the Series 27 exam, Series 28 does not have a corequisite exam, but candidates must be associated with a FINRA member firm or a self-regulatory … WebAccording to Section C of the NASD (now FINRA) Notice to Members 04-13 (February 2004), the exceptions set forth in Rule 2710(d)(5) (now Rule 5110(d)(5)) “are intended to cover identified bona fide capital-raising transactions.” However, even if shares received are not deemed to be underwriting compensation pursuant to
Notice To Members 95-81 FINRA.org
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FINRA’s Expectations of the Broker-Dealer Industry - Practus, LLP
WebMar 2, 2024 · On December 10, 2001, the NASD released NASD Notice to Members 01-81 titled “NASD Provides Interpretive Guidance On The Conduct Of Business Abroad.” The … WebApr 25, 2024 · FINRA Rule 3280 states that, “[n]o person associated with a member shall participate in any manner in a private securities transaction except in accordance with the requirements of this Rule.” Among other things, the Rule requires a financial advisor to provide written notice prior to participating in a private securities transaction even ... WebAug 6, 2024 · Moreover, in April 2024, FINRA sent a notice to members reminding them that, “[r]egardless of whether the account is self-directed or options are being recommended, members must perform due diligence on the customer and collect information about the customer to support a determination that options trading is appropriate for the customer.” kuroko no basket bahasa indonesia