Changes to Advertising, Corporate Financing, New Membership and Continuing Membership Application, Central Registration Depository and Branch Office Annual Registration Fees
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
FINRA Reminds Firms of Upcoming Changes to BrokerCheck
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Notice of Annual Meeting of FINRA Firms and Proxy
Executive Summary
NASD has adopted an amendment to Section 4(b) of Schedule A to the NASD By-Laws, establishing a fee to be imposed on members that fail timely to pay their annual Renewal Fee as indicated on their Preliminary Renewal Statement. The rule change was filed with the Securities and Exchange Commission (SEC) on July 25, 2002. Pursuant to Section 19(b)(3)(A)(ii) of the Securities
INFORMATIONAL
Release of Disciplinary Information
Implementation Date: September 1, 2002
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Executive Representatives
Legal & Compliance
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IM-8310-2
Release of Disciplinary Information to the Public
Executive Summary
NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the
INFORMATIONAL
Comment Period Expires: September 6, 2002
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Legal & Compliance
Operations
Registration
Senior Management
Money Laundering Compliance Programs
Executive Summary
On October 26, 2001, President Bush signed into law the USA PATRIOT
