Customer Option to Choose an All Public Arbitration Panel in All Cases
<p align="left">Applicability of Rule 2820(g) to payments to an associated person from an issuer's deferred compensation plan.</p>
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
INFORMATIONAL
Temporary Cease and Desist Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Cease and Desist Proceedings and Orders
Executive Summary
On May 23, 2003, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that gives NASD the authority to impose and
SR-FINRA-2009-001 - Proposed Rule Change to Amend FINRA Rule 7470
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).
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Uniform Practice Code Rule 11870(e) to require that following the validation of a transfer instruction, the carrying member must complete the transfer of customer account(s) to the receiving member within three business days instead of four business days.
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to amend NASD Rule 1120(a) to permit the in-firm delivery of the Regulatory Element of the Continuing Education Requirements. Currently, this computer–based training program can only be administered to registered persons at the location of an outside vendor.
GUIDANCE
Gifts and Gratuities
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Gifts
Gratuities
Rule 3060
Executive Summary
As a result of a recent review of gift and gratuity practices at member firms, NASD has
