SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) as previously announced, has contracted with Sylvan Learning Systems, Inc., for the management and operation of its test center network. As the transition to the Sylvan Network proceeds, a limited number of current PROCTOR® Certification and
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
GUIDANCE
Web Site References to NASD
Membership by Member Firms
SUGGESTED ROUTING
KEY TOPICS
Advertising
Legal & Compliance
Operations
Senior management
Hyperlink
NASD Interpretive Material 2210-4
Rule 2210
Web Site
Executive Summary
On November 9, 2006, the Securities and Exchange Commission
(SEC) approved an amendment to Interpretive Material 2210-4
(IM-2210-4
INFORMATIONAL
Release of Disciplinary Information
Implementation Date: September 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
IM-8310-2
Release of Disciplinary Information to the Public
Executive Summary
NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the
FINRA is reviewing transactions with retail customers of certain fixed income products known as “Gas Bonds.”
SR-FINRA-2008-062 - Proposed Rule Change to Adopt FINRA Rule 2267 (Investor Education and Protection) in the Consolidated FINRA Rulebook
Filing Requirements for Members that Carry Customer Margin Accounts; New Customer Margin Balance Form
Preguntas importantes antes de presentar un reclamo
FINRA is reviewing retail municipal securities transactions. In connection with this review, we request your firm to produce the following information relevant to retail customer municipal transactions by your firm for the period from January 1, 2009 through March 31, 2009.
