Executive Summary
FINRA has adopted new rules to address brokers with a significant history of misconduct and the broker-dealers that employ them.1 The new rules:
allow a Hearing Officer to impose conditions or restrictions on the activities of a Respondent member firm or Respondent associated person, and require the member firm employing a Respondent associated person to
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The NASD invites members to vote on a proposed amendment to Article VI, Section 3 of the NASD By-Laws to permit the NASD to suspend or cancel the membership or registration of a member or associated person for failing to honor a written and executed settlement agreement obtained in connection
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceTradingTraining
Executive Summary
Members are reminded that commission charges to customers in agency transactions are fully subject to all provisions of Article III, Section 4 of the NASD Rules of Fair Practice. As such, the NASD 5% Policy applies as equally to commissions on agency trades as it does to markups or
Last Voting Date: September 27, 1993
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
The NASD invites members to vote on a proposed new section to the Rules of Fair Practice that would require members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the introducing and clearing
TO: All NASD Members
ATTN: Operations Principals, Cashiers, and P&S Dept.
The Securities and Exchange Commission has approved amendments to Sections 5, 9, 12 and 30 of the Uniform Practice Code. The Code prescribes the manner in which over-the-counter securities transactions other than those cleared through a registered clearing agency are compared, cleared and settled between NASD
This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
Rules & GuidanceFINRA ManualFINRA Manual UpdatesFINRA RulesCapital Acquisition Broker RulesFunding Portal RulesSEC Rules and RegulationsTemporary Dual FINRA-NYSE Member Rule SeriesImmediately Effective Rule Changes Pending Issuance of a Regulatory NoticeImmediately Effective Rule Changes Pending SEC NotificationApproved Rule Changes Pending Determination of Effective DateRetired
FINRA provides real-time market trade information for Corporate and Agency bonds, Securitized Products (ABS, CMO, MBS, TBA) and Private Placement (144A) bonds including execution date and time, quantity, price, and yield as reported to TRACE (Trade Reporting And Compliance Engine). Since the bond market is less liquid than most markets for stocks, there may be no trade activity
Are you looking beyond a traditional savings account to begin to invest in stocks, bonds or funds? Perhaps you’re looking for someone to help develop a road map for your financial future. These and other situations might make you consider contacting an investment professional.
