The staff granted an exemption from FINRA Rule 5130 with respect to purchases of “new issues” by the Canada Pension Plan Investment Board.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
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 the Municipal Securities Rulemaking Board (MSRB).
Proposed New Rules Governing Communications About Variable Insurance Products; Comment Period Expired: September 30, 2008
Find Advertising Regulation guidance on what and when to file that is related to new member firms and existing member firms.
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that on January 13, 1989, the Securities and Exchange Commission (SEC) approved an
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On June 1, 1988, the NASD will institute the Limited Representative—Corporate Securities, a new category of registration. This new registration category will qualify persons associated with NASD members to solicit, purchase, or sell corporate securities, as defined in the amendment to Schedule C Part III, Section 29(e) to the
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On January 4, 1988, the NASD will install the Limited Representative—Corporate Securities category of registration on the Central Registration Depository System. This new registration category will qualify persons associated with NASD members to solicit, purchase, or sell corporate securities, as defined in the amendment to
FINRA Requests Comment on TRACE Dissemination Issues
Notice of Annual Meeting of FINRA Firms and Proxy
