FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Frequently asked questions regarding Business Continuity Planning (BCP) and FINRA Rule 4370.
Aging and illness can change many things in a person's life, including the ability to manage one's own money. Learn five steps that can help you prepare in the event that diminished financial capacity becomes a serious problem for you or your loved ones.
REQUEST FOR COMMENT
Regulation of IPO Allocations and Distributions
Comment Period Expires: September 9, 2002.
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KEY TOPICS
Corporate Financing
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Flipping
IPO Allocations
NASD Rule 2710
NASD Rule 2712
Penalty Bids
Spinning
Underwriting Compensation
In the unlikely event of a system-wide failure, FINRA will use the following resources to alert members.
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
Firms involved in mergers, acquisitions, asset transfers (which may include but is not limited to registered representatives and customer accounts) and other operational changes must attend to various regulatory and investor-protection obligations.
FINRA encourages firms, and in some cases requires them, to notify their FINRA coordinator when planning these changes. By discussing these proposals
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Variable Contracts
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1997. Duplicate copies are available for $
