FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
GUIDANCE
NAC Nominations
Nomination Deadline: August 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National
REQUEST FOR COMMENT
Sales Contests and Non-Cash Compensation
Comment Period Expires August 5, 2005
SUGGESTED ROUTING
KEY TOPICS
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Sales Contests
Non-Cash Compensation
Executive Summary
NASD currently
INFORMATIONAL
Public Disclosure Program
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Forms U-4 And U-5
IM-8310-2
Public Disclosure Program
Executive Summary
On February 7, 2000, the Securities and Exchange Commission (SEC) approved proposed changes to National Association of Securities Dealers, Inc. (
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Syndicate
Systems
Technology
Trading
Executive Summary
As the year 2000 approaches, organizations throughout the world are facing the formidable challenge of ensuring that their own computer systems, and other computer systems they depend upon, will continue to operate successfully
SUGGESTED ROUTING
Senior Management
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Operations
Research
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Systems
Trading
Executive Summary
In 1996 there was an abundance of news and magazine articles, web pages, and special hearings in Congress designed to promote awareness of the Year 2000 (Y2K) challenge and to communicate information about the potential
SUGGESTED ROUTINGSenior ManagementAdvertisingLegal & ComplianceMutual FundTraining Executive SummaryThis Notice sets forth the policy of NASD Regulation, Inc. (NASD RegulationSM) applicable to electronic delivery of information between members and their customers as required or permitted by National Association of Securities Dealers, Inc. (NASD®) Rules.1Questions concerning this
Remarks by Executive Vice President Thomas M. Selman at the IRI Government, Legal and Regulatory Conference
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
