NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Per FINRA Rule 1220, individuals are required to pass an appropriate exam or receive a waiver to qualify for a registration category. After passing an exam, the individual must obtain approved status in a corresponding registration category within two years (four years for the SIE) of the exam date to maintain its validity. If an individual does not obtain an approved registration within the two
On This PagePortfolio Margin DataFiling ScheduleHow to Access the File Upload FunctionBefore Uploading a File for the First TimeHow to Upload a FilePortfolio Margin Exam DataPortfolio Margin DataFINRA requires that all Portfolio Margin (PM) member firms submit their PM data via a file upload (fileX Upload).For more information on the expanded data requirements, please download version 2.0 of the
INFORMATIONAL
Best Execution
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Best Execution
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) is issuing this Notice to reiterate the best execution obligations that apply to member firms when they receive, handle, route for
GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
In October 2005, NASD issued Notice to Members (NTM) 05-69
informing members of Securities and Exchange Commission (SEC)
GUIDANCEResearch Analysts and Research ReportsEffective Date: March 30, 2004SUGGESTED ROUTINGKEY TOPICSContinuing EducationExecutive RepresentativesLegal & ComplianceRegistered RepresentativesRegistrationResearchSenior ManagementTrainingRegistrationResearch ReportsExecutive SummaryThe Securities and Exchange Commission (SEC) recently approved amendments to NASD rules to finalize and
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED rOUTING
Senior Management
Continuing Education
Legal & Compliance
Executive Summary
The Securities Industry/regulatory Council on Continuing Education (Council) includes 13 members representing a cross-section of securities firms and six self-regulatory organizations (SrOs).1
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
