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3013 report finra
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3013 report finra


Date:14.06.2016, 08:46 February 13, 2006 Notice to Members 06-04 SEC Approves Amendments to NASD Rule 3012 to Require Members Relying on Rule 3012's "Limited Size and Resources" Exception to Notify NASD of their Reliance. November 2, 2005 Notice to Members 05-67 SEC Approves Uniform Branch Office Definition and Related Interpretive Material. October 6, 2005 Notice to Members 05-50 Member Responsibilities for Supervising Sales of Unregistered Equity-Indexed Annuities. August 8, 2005 Notice to Members 05-48 Members' Responsibilities When Outsourcing Activities to Third-Party Service Providers July 22, 2005 Notice to Members 05-29 Guidance Regarding Rule 3012(a 1) Requirement to Test and Verify a Member's Supervisory Policies and Procedures April 14, 2005 Notice to Members 05-08 Guidance Regarding the Application of the Supervisory Control Amendments to Members' Securities Activities, Including. February 5, 2009 Regulatory Notice 08-27 The Obligation of Firms When Supervising their Registered Representatives' Use of Marketing Materials to Establish Expertise. May 20, 2008 Regulatory Notice 08-24 Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls.
3013 report finra


3013 report finra 3013 report finra


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