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1017. Application for Approval of Change in Ownership, Control, or Business Operations
(a) Events Requiring Application A member shall file an application for approval of any of the following changes to its ownership, control, or business operations: (1) a merger of the member with another member, unless both are members of the New York Stock Exchange, Inc. or the surviving entity will continue to be a member of the New York Stock Exchange, Inc.; (2) a direct or indirect
Notice to Members 05-54
INFORMATIONAL NAC Nominee SUGGESTED ROUTING KEY TOPICS Legal and Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the nominee for the National Adjudicatory Council (NAC) from the North Region. The nominee, nominated for a three-year term
Regulatory Notice 22-20
Summary The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and
Notice to Members 05-12
GUIDANCEEligibility ProceedingsEffective Date: March 7, 2005SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesRegistered RepresentativesLegal & ComplianceSenior ManagementClerical and Ministerial ActivitiesMC-400 ApplicationRule 9520 Series—Eligibility ProceedingsRule 9522Statutory DisqualificationExecutive SummaryNASD's Rule 9520 Series sets forth NASD's
Notice to Members 04-41
INFORMATIONAL NAC Nominees SUGGESTED ROUTING KEY TOPICS Legal and Compliance Senior Management National Adjudicatory Council Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the National Adjudicatory Council (NAC) from the Midwest and South Regions. The nominees, nominated for a
Regulatory Notice 20-16
Summary The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
Notice to Members 03-73
INFORMATIONAL Online Comments SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representative Senior Management Notices to Members Public Access to Comments Requests for Comment Executive Summary NASD today announced that it is now making available on its Web Site comments filed in response to Notices
The Helpline in Action
Overview FINRA launched the Helpline on April 20, 2015 to provide investors with access to specially trained FINRA staff who can assist senior and vulnerable adult investors with questions or concerns about their brokerage accounts and investments. As of December 31, 2019,5 the Helpline has received over 18,000 calls from all 50 states and several countries. Helpline callers range in age from 17
Interpretive Letter to Wallace W. Kunzman, Jr., Kunzman & Bollinger, Inc.
Direct Participation Programs Representatives are eligible to sell shares of a non-listed business development company that qualifies as a regulated investment company under the Internal Revenue Code at the time of sale.
Notice To Members 89-52
SUGGESTED ROUTING* Legal & Compliance Registration Training *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission recently approved an amendment to Schedule C of the By-Laws that establishes waiting