Quite trying to regulate everything. There is sufficient information available to potential investors to assess the risk and make and informed decision regarding investing in these funds.
<p>Use of Modified Corporate Name</p>
GUIDANCE AND REQUEST FOR COMMENT
Regulatory Transaction Fees
Comment Period Expires March 30, 2005
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KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Regulatory Transaction Fees
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD By-Laws
Executive Summary
In August 2004, NASD issued Notice
Timely and complete reporting of all information required by the FINRA By-Laws and rules, as well as the federal securities laws is critical. The Securities and Exchange Commission, FINRA, other self-regulatory organizations and state securities regulators use the information to make licensing and registration decisions, among other uses. FINRA also uses the information in BrokerCheck, which
The BrokerCheck dispute process, as defined in FINRA Rule 8312(e), allows eligible individuals and FINRA firms to dispute or update the accuracy of information that is disclosed in their own BrokerCheck reports.
On this page you will find information on eligibility, the BrokerCheck Dispute Form and instructions on how to submit a dispute.
Who Can Submit a Dispute?
Any current or former FINRA
FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
SEC Approves Changes to FINRA's BrokerCheck Disclosure Rule to Retain and Make Publicly Available Information About Final Regulatory Actions Against Former Brokers
SummaryThe purpose of this Notice is to inform member firms about the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. As a self-regulatory organization, FINRA is committed to deep engagement with its member firms, including through FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory
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Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has revised the NASD Sanction Guidelines (Guidelines), which are used by the various bodies that adjudicate disciplinary matters (Adjudicators) to determine appropriate remedial sanctions. The National Business Conduct Committee (NBCC)
