SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 28, 1998,
Sec. 8.5 Meetings of a Regional Committee shall be held in its region, as identified in Schedule A to these By-Laws, at such times and places, upon such notice, and in accordance with such procedures as the Chief Executive Officer or his or her designee in his or her discretion may determine. A quorum of a Regional Committee shall consist of a majority of its members, and any action
(a) Conditions and Restrictions
(1) Motion for Conditions or Restrictions
Unless otherwise ordered by a Hearing Officer, within 10 days after service of a notice of appeal from, or the notice of a call for review of, a decision issued pursuant to Rule 9268 or Rule 9269 in which the Hearing Panel or, if applicable, the Extended Hearing Panel or the Hearing Officer finds that a Respondent
The FINRA Board of Governors will consider the following rulemaking items at its September 2012 meeting.
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
I find it ironic that our government proposes to restrict investments that allow citizens to protect themselves from government interventions in markets. I specifically indicate inverse bond funds. These allow investors to offset detrimental actions of government agencies, such as the expansion of the money supply by the Federal Reserve, in a very simple and inexpensive manor. Or maybe you
529 Plans
Regulatory Notice
Notice Type
Guidance
Suggested Routing
Compliance
Legal
Registered Representatives
Senior Management
Key Topics
529 Plans
Share Classes
Suitability
Supervision
Referenced Rules & Notices
No body of government has any right to tell the common man what and when he is allowed to invest his earnings. We have the basic right to attain to improve our position in life. actions such as these restrictions would impose, openly call to restrict people to particular classes of society. Actions such as these would openly create a new system of castes and open aritocracy. Those things are in
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Last Updated: March 11, 2024Dispute Resolution Services (DRS) is publishing this guidance to remind parties and their representatives, arbitrators, and mediators that the unauthorized disclosure of a Suspicious Activity Report (SAR) is a violation of federal law that may be punishable by civil and criminal penalties. As described in greater detail below, three categories of “SAR Information”—SARs
