Displaying 15061 - 15070 of 34037 Results
Notice to Members 03-62
INFORMATIONAL Borrowing From and Lending to Customers Effective date: November 10, 2003 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Registered Representatives Senior Management Borrowing From and Lending to Customers Rule 2370 Executive Summary On August 29, 2003, the Securities
Notice to Members 04-35
GUIDANCE Filing Requirements SUGGESTED ROUTING KEY TOPICS Financial Legal and Compliance Senior Management Annual Audits FOCUS Reports Schedule I Executive Summary Securities and Exchange Commission (SEC) Rule 17a-5 requires broker-dealers to file certain financial reports with NASD within a specified number of days
Notice to Members 03-63
ACTION REQUIRED Expense-Sharing Agreements SUGGESTED ROUTING KEY TOPICS Accounting Executive Representatives Internal Audit Legal & Compliance Operations Senior Management Expense-Sharing Agreements Net Capital Recordkeeping SEC Rule 15c3-1 SEC Rules 17a-3, 17a-4, and 17a-5 Executive Summary On
Notice to Members 04-36
GUIDANCE Expedited Proceedings SUGGESTED ROUTING KEY TOPICS Legal & Compliance Expedited Proceedings Rule 9550 Series Executive Summary On March 9, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that creates the Rule 9550 Series to consolidate, clarify, and streamline most
Notice to Members 04-37
SEC Approves Rules Requiring Members to Create Business Continuity Plans and Provide Emergency Contact Information
Notice to Members 03-64
INFORMATIONAL SEC Approves Arbitrator Background Verification Process Effective Date: October 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Arbitration Executive Summary On September 25, 2003, the Securities and Exchange Commission (SEC) approved a proposal to conduct background verification
Notice to Members 03-65
INFORMATIONAL Sanction Guidelines SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Registered Representatives Senior Management NASD Sanction Guidelines Rule 3030 Outside Business Activities Rule 3040 Selling Away Recidivists Executive Summary The NASD Sanction Guidelines (
Notice to Members 03-66
Amendments to NASD Rules Regarding Margin Requirements Effective Date: December 1, 2003 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Margin Requirements Regulation T Rule 2520 Executive Summary On August 25, 2003, the Securities and Exchange Commission (SEC) approved amendments to
Neutral Corner—Volume 6 - 2011
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA’s dedicated neutrals serve parties and other participants in the FINRA forum by taking advantage of this valuable learning tool.
Neutral Corner—Volume 5 - 2011
We publish The Neutral Corner to provide arbitrators and mediators with current updates on important rules and procedures within securities dispute resolution. FINRA’s dedicated neutrals serve parties and other participants in the FINRA forum by taking advantage of this valuable learning tool.