Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
GUIDANCENASD Releases Minor Rule Violation Plan (MRVP) GuidelinesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementMinor Rule Violation Plan (MRVP)SanctionsExecutive SummaryIn 1993, NASD established the Minor Rule Violation Plan (MRVP or the Plan) to provide NASD with a process for imposing meaningful sanctions for rule violations that may not warrant
Call for Candidates for Upcoming FINRA Small Firm Advisory Committee Election
Remarks by Richard Ketchum From the NACUBO 2014 Endowment and Debt Management Forum
Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
Proposed Rule Change to Amend FINRA Rule 8312 (FINRA BrokerCheck Disclosure) to Expand the Categories of Civil Judicial Disclosures that are Permanently Available in BrokerCheck
Testing And Continuing Education Scheduling Procedures Revised
To provide a better level of service to members, NASD Regulation, Inc., and the Sylvan Technology Center Network (Sylvan) have agreed that certain appointment scheduling activities regarding testing and continuing education sessions will become the direct responsibility of NASD RegulationSM. Effective June 1, 1998, NASD Regulation
Effective Date: Jan. 1, 2024The Financial Industry Regulatory Authority, Inc. ("FINRA") develops and licenses financial services industry-related materials and courses (“CE Licensed Product(s)”) that are made available through FINRA’s online platform (“FinPro”). The use of the CE Licensed Product(s) is conditioned upon the acceptance by you (“End User”), without modification, of these
How do I entitle someone to access an eFOCUS report?
Where are eFOCUS filings located in the redesigned FINRA Gateway?
How do I transmit an eFOCUS filing to my clearing firm?
When are my eFOCUS filings due?
Where can I see previously filed eFOCUS reports?
How do I amend a submitted eFOCUS report?
How do I print an eFOCUS report?
We are a newly registered member firm and when I
Knowing oil investment vocabulary terms can help you better understand the energy markets. Here are a few common terms to get you started.
