• 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
Sec. 1. All checks or demands for money and notes of the Corporation shall be signed by such officer or officers or such other person or persons as the Board may from time to time designate.
Amended by SR-NASD-2007-023 eff. July 30, 2007.
Amended by SR-NASD-97-71 eff. Jan. 15, 1998.
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We are a newly registered member firm and when I
At any time after the Office of Hearing Officers serves the Respondent (or counsel representing the Respondent, or other person authorized to represent others under Rule 9141, when counsel or other person authorized to represent others under Rule 9141 agrees to accept service for the Respondent) with a temporary or permanent cease and desist order, a Party may apply to the Hearing Panel to
Sec. 6. Notwithstanding Section 5 or Article XXII, the term of office of a Governor shall terminate immediately upon a determination by the Board, by a majority vote of the remaining Governors, that: (a) the Governor no longer satisfies the classification for which the Governor was elected; and (b) the Governor's continued service as such would violate the compositional
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend provisions of the FINRA Rule 9000 Series (Code of Procedure) and Funding Portal Rule 900 Series (Code of Procedure) that require or allow for a sanction or other regulatory measure to take effect immediately.
FINRA Encourages Firms to Make Reasonable Efforts to Assist Investment Advisers Seeking Information Pursuant to Rule 206(4)-5 Under the Investment Advisers Act of 1940
Effective Date: May 1, 1995
SUGGESTED ROUTING
Legal & Compliance
Operations
Registration
Training
In early 1993, six self-regulatory organizations (the American Stock Exchange, the Chicago Board Options Exchange, the Municipal Securities Rulemaking Board, the National Association of Securities Dealers, Inc., the New York Stock Exchange, and the Philadelphia Stock
It's my business what I invest in. It's up to me to make that choice, for whatever reason I want. It's none of your business what I invest in or what I do w/my money. I shouldn't have to go through a special process like passing a test or reading anything. If you want to apply those rules, why not apply it to yourself. Let's make it that you can't vote on a bill you
