FINRA Requests Comment on a Proposed Rule to Require Disclosure of Conflicts of Interest Relating to Recruitment Compensation Practices
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
The 2021 Compliance Outreach Program for Municipal Advisors is a free webcast program designed to provide municipal advisors and other municipal market participants an opportunity to hear from SEC, MSRB and FINRA staff on timely regulatory and compliance matters. Topics of discussion include managing conflicts of interest disclosures; operational considerations for registered municipal advisors;
(a) Notice of Suspension, Cancellation or Bar(1) If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with a temporary or permanent cease and desist order issued under the Rule 9200, 9300 or 9800 Series, FINRA staff, after receiving written authorization from FINRA's Chief Executive Officer or such other senior officer as the Chief
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesBoard ElectionsExecutive SummaryThe Annual Meeting of Members of NASD will be held on January 4, 2005, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for discussion by properly
Sec. 8.3 (a) Certificates representing shares of capital stock of FINRA Dispute Resolution shall be signed in the name of FINRA Dispute Resolution by two officers with one being the President or a Vice President, and the other being the Secretary or Treasurer. Such certificates may be sealed with the corporate seal of FINRA Dispute Resolution or a facsimile thereof.
(b) Any
Natalie Meyer is Senior Vice President, Chief Compliance Officer and Counsel in FINRA's Ethics and Compliance Office. In this role, Ms. Meyer oversees FINRA's Ethics, Compliance and Data Privacy Programs, as well as FINRA’s Oversight Liaison’s office. Additionally, Ms. Meyer is responsible for overseeing FINRA's Commercial Transactions Group in the Office of General
Sec. 11.3 (a) Certificates representing shares of capital stock of FINRA Regulation shall be signed in the name of FINRA Regulation by two officers with one being the President or a Vice President, and the other being the Secretary or the Treasurer. Such certificates may be sealed with the corporate seal of FINRA Regulation or a facsimile thereof.
(b) Any signature on the stock
The Neutral Corner—Volume 4, 2019
Mission Statement
Year End Message
Anatomy of a Securities Mediation: What to Expect, How to Prepare and How to Win (by Jeff Abrams, FINRA Arbitrator and Mediator)
Introducing Previously Undisclosed Documents or Witnesses Under FINRA Rule 12514 (by Danielle Williams and Steeve Encaoua, FINRA Office of Dispute Resolution, Southeast Region)
Maintaining
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers ("Association" or "NASD") is publishing for comment by members and all other interested persons a proposed rule which would establish new requirements for the private securities transactions of persons associated with member firms. The rule would replace in its entirety the
