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Notice to Members 99-90
INFORMATIONAL Arbitration SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Training Arbitration Discovery Guide The Suggested Routing function is meant to aid the reader of this document. Each NASD
Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
Robert L.D. Colby's Testimony Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
ATS Order Type Entry Screen
On September 12, 2016, FINRA added a new ATS Order Type Entry Screen to the OATS Administration Section of the OATS Web Interface.
Notice to Members 99-91
INFORMATIONAL Imposition Of Censures SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Disciplinary Actions NASD Sanction Guidelines The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary In July 1999
Notice to Members 99-92
INFORMATIONAL Risk Management Practices SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Risk Management Practices The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary The Securities and Exchange
Notice to Members 99-93
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Monthly Disciplinary Actions September 2016
Notice to Members 99-94
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date— Settlement Date Schedule The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
Funding Portal Statutory Disqualification Process
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification. General Information on FINRA’s Eligibility Requirements Under the FINRA By-Laws, no person shall be admitted to or continued in
When a Brokerage Account Holder Dies—What Comes Next?
When it comes to the death of a brokerage account holder, many firms have trained staff and resources to help the living manage estate matters. Once a firm has been notified of the death of an account holder, here are some things you can expect.