ACTION REQUESTED BY OCTOBER 29, 1999
Comment Period Expires October 29, 1999
Salesperson Compensation Practices
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Legal & Compliance
Mutual Funds
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Senior Management
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Compensation
Investment Company Securities
The Suggested Routing function is meant to aid the reader of this document. Each
We do NOT need regulators to monitor or rule our accounts
Comment Period Expires September 13, 1999
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Senior Management
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(a) Notice of Initiation of Summary Proceedings
FINRA's Chief Executive Officer or such other senior officer as the Chief Executive Officer may designate may provide written authorization to FINRA staff to issue on a case-by-case basis a written notice that summarily:
(1) suspends a member, person associated with a member or person subject to FINRA's jurisdiction who has been
NASD has filed with the SEC a proposed rule change to amend NASD Rules 9231 and 9233 to clarify a replacement Hearing Officer’s authority when he or she is appointed after a hearing has begun or been concluded.
Rules of leverage and options should not be changed at this time for qualified investors.
I am totally against these new rules. More liberty, not less.
The proposed rule changes are unnecessary. The risks are already clearly stated
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
The Firm Short Positions and Fails-to-Receive in Municipal Securities section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
