(a) Definitions
(1) For purposes of this Rule, the term “Specified Adult” shall mean: (A) a natural person age 65 and older; or (B) a natural person age 18 and older who the member reasonably believes has a mental or physical impairment that renders the individual unable to protect his or her own interests.
(2) For purposes of this Rule, the term “Account” shall mean any account of a member for
(a) Notice of Initiation of Summary Proceedings
FINRA's Chief Executive Officer or such other senior officer as the Chief Executive Officer may designate may provide written authorization to FINRA staff to issue on a case-by-case basis a written notice that summarily:
(1) suspends a member, person associated with a member or person subject to FINRA's jurisdiction who has been
(a) Notice to Member or Person of Suspension, Cancellation, Bar, or Limitation or Prohibition on Access to Services
(1) If a member or an associated person does not meet the eligibility or qualification standards set forth in the FINRA By-Laws or rules, FINRA staff may provide written notice to such member or person stating that the failure to become eligible or qualified will result in a
The Regional committees advise FINRA on industry trends of regulatory concern, provide input on the impact of FINRA’s regulatory programs and communicate high-level information regarding meeting discussions to their constituents. Additionally, committee members serve as panelists in FINRA disciplinary proceedings. The committees are organized into the following regions: West (Districts 1, 2 and 3); Midwest (Districts 4 and 8); South (Districts 5, 6 and 7); North (Districts 9 and 11); and New York (District 10).
GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Market Makers
Riskless Principal
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supplement guidance provided in
NASD Notice to Members (NTM) 06-44 relating to the application
of the Trading
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of
GUIDANCE
Do-Not-Call Registry
Effective Date; March 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Training
Cold Call
Do-Not-Call
Do-Not-Call Registry
Rule 2212
Telemarketing
Telephone Solicitation
Executive Summary
On January 11, 2005, the Securities and Exchange Commission (SEC)
approved amendments to
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
