INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education Testing/Qualifications
Legal & Compliance
Senior Management
Continuing Education
Firm Element
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Proposed Rule Change to Amend the Customer And Industry Codes to Expedite List Selection in Arbitration
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<p>A wrap fee program in which a registered representative/investment adviser neither receives transaction fees nor is involved with the execution of securities transactions would be subject to NASD Rule 3030, rather than Rule 3040.<br/></p>
July 2008
The Market Regulation Department of FINRA, in coordination with NYSE Regulation, is conducting a review of Broker-Dealer's (the "firm") compliance with: NYSE Rule 435(5), which prohibits the circulation of false or misleading rumors "of a sensational character which might reasonably be expected to effect market conditions"; NASD Rule 5120(e), which prohibits
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
NASDR has filed with the SEC a proposed rule change to its By-Laws authorizing at-large Industry members of the National Adjudicatory Council.
The FINRA Board of Governors will consider the following rulemaking items at its February 2015 meeting: BrokerCheck disclosure; Discretionary accounts and transactions; Regulatory Element continuing education; Sales of securities on military installations; and TRACE transaction reporting and historic data sets.
As a retail investor, I support these rule changes. Legal investing can only be accomplished in a regulated, transparent, non-manipulated market with rules that are agreed upon and ENFORCED. Everyone is entitled to know where all the bananas are and how they are being bought and sold.
