Exemptive relief is granted based on representations that: the contribution pre-dated the contributor’s designation as an MFP; the MFP attempted to obtain a refund of the contribution; the Firm identified the contribution through its supervisory processes during its screening process when Name was being considered for a role that would cause her to be designated as an MFP; and the MFP will be prohibited from soliciting or otherwise being involved in municipal securities business with the City for at least two years from the date of the Contribution.
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
Enhancement to current rules
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
I oppose the proposed rule
Stop this potential ruling!
FINRA Amends FINRA Rule 9120 and the Definition of “Hearing Officer”
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Trading & Market Making
Training
OTC Bulletin Board
Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock
