Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm, was not an MFP, and did not anticipate an employment relationship with the firm; the firm already had a significant business relationship with the City of which the contribution recipient is an issuer official (as defined); the individual has attempted to obtain the return of the contribution; the firm has instituted barriers and controls around certain municipal business communications; and the individual will be prohibited from any involvement in municipal securities business with the City for a period of time.
(a) "Adjudicator"The term "Adjudicator" means:(1) a body, board, committee, group, or natural person that presides over a proceeding and renders a decision;(2) a body, board, committee, group, or natural person that presides over a proceeding and renders a recommended or proposed decision which is acted upon by an Adjudicator described in paragraph (a)(1); or(3) a natural
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 2, 1986
The National Association of Securities Dealers, Inc., (NASD) is requesting comments on a proposed amendment that would exempt certain persons purchasing securities in connection with the conversion of a savings and loan association or other organization from mutual to stock ownership from the restrictions
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Since the issuance of Notice to Members 84-48, requests for clarification have been received concerning that portion of the Notice dealing with the treatment to be accorded commissions payable.
After further discussion with the staff of the SEC's
SEC Approves New Rules Governing Communications With the Public
The GI Bill is a valuable benefit that has helped veterans pay for college since World War II. Learn how to make the most of the GI Bill and start using the benefits.
(a) The term "member," when used to denote a natural person approved by the Exchange, means a natural person associated with a member organization who has been approved by the Exchange and designated by such member organization to effect transactions on the floor of the Exchange or any facility thereof.
(b)
(i) The term "member organization" means a registered broker or
This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
(a) The term "member," when used to denote a natural person approved by the Exchange, means a natural person associated with a member organization who has been approved by the Exchange and designated by such member
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
Terrence Bohan is the Vice President of Investigations for Enforcement. In that capacity, he manages Enforcement's investigators located throughout the various FINRA offices nationwide as they investigate potential securities violations and, when warranted, bring formal disciplinary actions against firms and their associated persons. Mr. Bohan also oversees the Forensic Investigations and
