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Interpretive Letter to Dana Fleischman, Esq., Cleary, Gottlieb, Steen & Hamilton
<p>Rule 2740 would not prohibit an underwriter in a fixed price offering from paying to another broker/dealer that is unable to participate in the underwriting syndicate an advisory fee or a referral fee to the extent that such payment does not directly or indirectly discount the fixed offering price for any purchaser in the offering.</p>
Notice to Members 02-65
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
Notice to Members 01-69
INFORMATIONAL District Elections SUGGESTED ROUTING KEY TOPICS Legal &amp; Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to announce the nominees for the
Addressing and Reporting Financial Exploitation of Senior and Vulnerable Adult Investors - SCORM Terms and Conditions
LICENSED PRODUCT Terms of Use Last modified: June 15, 2022 The Financial Industry Regulatory Authority, Inc. ("FINRA" ) develops, produces, and licenses financial services industry-related materials and courses that are made available on the FINRA.org website (https://www.finra.org/rules-guidance/key-topics/senior-investors/elder-abuse-prevention-training). The materials and course
Broker Dealer Firms We Regulate - V
VALDES &amp; MORENO, INC.819 MAIN STREET, ROOM 304, PARKVILLE, MO 64152VALIC FINANCIAL ADVISORS, INC.2919 ALLEN PARKWAY, L3-20, HOUSTON, TX 77019-2158VALIDATE CAPITAL MARKETS, LLC505 PARK AVENUE, 14TH FLOOR, NEW YORK, NY 10022VALKYRIE EQUITIES CORPORATION14455 WEBB CHAPEL ROAD, SUITE 201, DALLAS, TX 75234VALLEY FINANCIAL MANAGEMENT, INC.350 MADISON AVE., 4TH FLOOR, COMPLIANCE DEPARTMENT, NEW
Notice to Members 96-12
As of January 19, 1996, the following 35 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,984: Symbol Company Entry Date SOES Execution Level ESTR ElectroStar, Inc. 12/21/95 200 FRAG French Fragrances, Inc. 12/21/95 200 HOMEF Home Centers (DIY), Limited (Ord Shs) 12/21/95 500 RGNT Regent Assisted
Election Notice - 7/20/09
FINRA Announces Nominees for Vacant Small Firm and Mid-Size Firm Industry National Adjudicatory Council Seats
Information Notice - 12/20/07
Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.
Notice to Members 06-24
GUIDANCE District Elections SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal &amp; Compliance Operations Registration Senior Management District Elections Executive Summary The purpose of this Special Notice to Members is to inform
Reg BI and Form CRS
The Best Execution, Outside Business Activities and Private Securities Transactions, Private Placements, and Reg BI and Form CRS sections of the 2023 Report on FINRA’s Examination and Risk Monitoring Program (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.