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Monthly Disciplinary Actions July 2001
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Regulatory Notice 12-16
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Name Not Public
Exemptive relief is granted based on the following factors: (1.) prior to Name's contribution, Firm X maintained a thorough and comprehensive set of procedures reasonably designed to ensure compliance with the Rule; (2.) the Firm had no knowledge of Name's contribution; (3.) once Firm X learned of Name's contribution, it took all available steps to return of the contribution; (4.) Firm X took appropriate remedial or preventive measures.
Notice to Members 99-03
Effective March 15, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research
Regulatory Notice 10-37
Increase in Number of Arbitrators Available for Review When Parties Choose Arbitration Panels
Regulatory Notice 11-21
SEC Approves Consolidated FINRA Rule Governing Fidelity Bonds
Monthly Disciplinary Actions June 2009
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Notice To Members 94-80
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading Executive Summary On September 12, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change that amends the Prompt Receipt and Delivery of Securities Interpretation (Interpretation) issued by the NASD Board of Governors under Article III, Section 1 of the NASD Rules of Fair Practice. Specifically,
Notice To Members 94-53
SUGGESTED ROUTING Senior Management Government Securities Institutional Legal & Compliance Operations Executive Summary The Board of Governors of the Federal Reserve System is seeking comments on proposed amendments to Regulation T (Credit by Brokers and Dealers) regarding settlement of securities purchases and the status of government
Remarks at the New York Regulation and Compliance Conference
Welcome, it’s great to see all of you here this morning. We have a great program for you today.