July 2008 Quarterly Disciplinary Review - FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.
Summary
This Notice reminds members of the Securities and Exchange Commission’s (SEC’s) adoption of a best interest standard of conduct for broker-dealers and a relationship summary (Form CRS) delivery obligation, and provides an SEC email address where members may submit questions about the new requirements. As more fully described below, the SEC encourages firms to actively engage with SEC
Effective: Immediately
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
On October 22, 1997, the Securities and Exchange Commission (SEC or Commission) approved an NASD Regulation, Inc. (NASD RegulationSM) proposed amendment to National Association of Securities Dealers, Inc. (NASD®) Rule 2320 (Three
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
Remarks by Richard Ketchum From the NACUBO 2014 Endowment and Debt Management Forum
FINRA requires members to file a continuing membership application (CMA) whenever they effect changes in ownership, control, or business operations. Members also must file a CMA whenever they seek to modify or remove restrictions previously imposed in a membership agreement. The CMA process protects investors by ensuring that a member’s supervisory and compliance systems, policies, and procedures
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Application of Rules on Communications With the Public and Institutional Sales Material and Correspondence to Certain Free Writing Prospectuses
FINRA Requests Comment on Proposed Amendments to FINRA Rule 4210 for Transactions in the TBA Market
April 2008 Quarterly Disciplinary Review - FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.
