Displaying 51 - 60 of 1290 Results
Notice to Members 00-44
INFORMATIONAL Variable Contracts SUGGESTED ROUTING KEY TOPICS Executive Representatives Insurance Internal Audit Legal & Compliance Operations Registered Representatives Senior Management Variable Contracts Suitability Supervision Variable Contracts Executive Summary Due to the growth in sales and the popularity of variable life insurance products, NASD
Regulatory Notice 08-76
Technology Changes for Reporting Clearing Methods and Arrangements
Interpretive Letter to Harley Whitfield, American Equity Capital, Inc.
<p>Non-cash compensation sales contest permissible under Conduct Rule 2820(h) where member sells only one variable annuity and one variable life product and appropriate records are maintained.<br/></p>
Remarks From the IRI Government & Regulatory Affairs Conference
Listen Now/Download | 36 min. 51 sec. Thanks very much, Lee [Covington], and it's great to be with you today. Your introduction was very kind, but when you really get down to it, you described two things of significance to this audience: one of which is I didn't seem to be very good at holding a job, and the other which is sadly, I'm one of your Baby Boomers that needs to think
Testimony on Elderly Investment Fraud
Mr. Chairman and Members of the Committee: NASD is grateful to the Committee for inviting us to testify about NASD's work to protect senior investors and for allowing us to submit this statement for the record.
Notice to Members 01-72
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal &amp; Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
Regulatory Notice 09-29
FINRA Requests Comment on Proposed FINRA Rule Addressing the Origination and Circulation of Rumors
2017 Dispute Resolution Statistics
ON THIS PAGE Arbitration Statistics Through December Historical Statistics for Cases Filed and Closed Top 15 Controversy Types in Customer Arbitrations Top 15 Security Types in Customer Arbitrations Top 15 Controversy Types in Intra-Industry Arbitrations How Arbitration Cases Close Results of Customer Claimant Arbitration Award Cases Results of All-Public Panels and Majority
Interpretive Letter to Thomas E. Hellings, Securities America, Inc.
Application of Suitability and Supervision requirements to recommendations of new variable annuity bonus products to existing variable annuity bonus products customers.
Remarks at the IRI Government, Legal and Regulatory Conference
Remarks by Chairman and CEO Rick Ketchum at the IRI Government, Legal and Regulatory Conference