SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On December 2, 1996, the Securities and Exchange Commission (SEC) approved new NASD® Conduct Rule 2211 to impose time restrictions and disclosure requirements regarding telephone calls to customers by members and their associated persons. The SEC also approved amendments to NASD Conduct Rule
Registered financial professionals, like many of us, move on to new job and career opportunities for a number of reasons. FINRA requires brokerage firms to deliver an educational communication to former customers who are contacted about transferring their assets when their financial professional changes from one broker-dealer to another.
Executive Summary
The purposes of this Notice are to remind members that significant disciplinary actions prompt reentry into the Regulatory Element of the Continuing Education Program; to advise members that, in late April 1996, the NASD will initiate reentry into the Regulatory Element for those members who were the subject of significant disciplinary actions between July 1, 1985, and June 30
A.1 Should CABs be permitted to engage in a broader range of M&A and private placement activities than currently specified in the CAB rules? Answer: Probably not.A.2 CABs may not act as an agent for secondary transactions involving unregistered securities, other than in connection with the change of control of a privately held company. Should CABs be permitted to act as placement
SEC Approves Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items
Summary
FINRA is issuing this Notice to restate and supplement prior guidance regarding the circumstances under which a firm or individual may influence the outcome of an investigation by demonstrating extraordinary cooperation. This Notice incorporates FINRA’s prior guidance and provides clarification and additional information about how FINRA assesses whether a potential respondent’s
Proposed Rule Change to Amend FINRA's Code of Procedure
FINRA provides comprehensive resources to help firms understand and comply with advertising regulation requirements. Explore our educational materials, technical guides, regulatory updates, and engagement opportunities below.Learning ResourcesE-Learning CoursesFINRA e-learning courses offer an affordable solution for Firm Element, advertising regulation and other training needs. Firms trust FINRA
SEC Approves New FINRA Rule 5123 Regarding Private Placements of Securities
SuperMontage
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
SuperMontage
Executive Summary
On May 28, 2002, the Securities and Exchange Commission (SEC) approved amendments made by The Nasdaq Stock Market, Inc
