Upcoming Election to Fill FINRA District Committee Vacancies
SummaryFINRA seeks comment on a proposed new rule to streamline and reduce unnecessary burdens regarding existing requirements addressing the outside activities of member firms’ associated persons, including registered persons (the Proposal). The Proposal is the result of FINRA's retrospective review of FINRA's rules governing outside business activities (OBAs) and private securities
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A motion to dismiss is a request made by a party to the arbitrator(s) to remove some or all claims raised by another party filing a claim. Rule 12504 of the Code of Arbitration Procedure for Customer Disputes and Rule 13504 of the Code of Arbitration Procedure for Industry Disputes (collectively, the Codes) establish procedures that govern motions to dismiss.
TO: Selected NASD Members
Under the AT & T divestiture program, for every ten shares of existing ("old") AT & T owned, shareholders of record December 30, 1983 will receive one share in each of seven newly-formed regional holding companies, while continuing to own ten shares of divested ("new") AT & T as well.
Beginning Monday, November 21, 1983,
January 18, 2006
NASD is issuing this OATS report to clarify for members the difference between qualifying for exclusion from the definition of "Reporting Member" under NASD Rule 6951(n) and obtaining an exemption from the OATS Reporting Requirements pursuant to NASD Rule 6957.
On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950
Notice of FINRA District Committee Elections and Ballots
FINRA Reminds Firms of Their Obligations Regarding the Supervision of Registered Persons Using Senior Designations
Nomination and Election Process to Fill FINRA District Committee Vacancies
• Branch Offices—Failure to Register
• Cheating, Using an Impostor, or Possessing Unauthorized Materials in Qualifications Examinations or in the Regulatory Element of Continuing Education
• Continuing Education (Firm Element)—Failure to Comply With Rule Requirements
• Continuing Education (Regulatory
Notice of Annual Meeting of FINRA Firms and Proxy
