Exemptive relief is denied based on: the Firm’s repeated failure to detect Officer A’s contributions in excess of $250; the Firm had actual knowledge of all three of Officer A’s contributions and that the Firm violated the municipal securities ban on two separate ocassions; and the firm failed to discover its own rule violations prior to NASD’s intervention.
October 2002
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
Summary
The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. Two seats on the SFAC are up for election, one representing the South region and one representing the Midwest region.
The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives
October 2002
In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
SUGGESTED ROUTING*
Internal Audit
Legal&Compliance
Operations
Registration
Trading
*These are suggested departments only. Others may be appropriate for your firm.
The phone number of the Rockville, Maryland office will change effective October 14, 1988. The change in the
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members and Other Interested Persons
LAST VOTING DATE IS JULY 16, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article I, Section (e) of the NASD By-Laws that would clarify that branch offices of NASD member firms located outside of the United States fall within the definition of "branch
Today in the United States, nearly 40 million people are age 65 and older. This number is expected to more than double to 89 million by 2050.
Background information about FINRA Contact System (FCS) and related Notices.
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
(a) Arbitrator and Mediator Portal
The term "Arbitrator and Mediator Portal" means the web-based system that allows invited arbitrators and mediators to access a secure section of FINRA's website to submit
