(a) Responsibility to Expedite Customer's Request
(1) When a customer whose securities account is carried by a member (the "carrying member") wishes to transfer securities account assets, in whole or in specifically designated part, to another member (the "receiving member") and gives authorized instructions to the receiving member, both members must expedite
(a) Application
This Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.
(b) Definitions
(1) The terms "affiliated member,
(a) ApplicationThis Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.(b) Definitions(1) The terms "affiliated member,"
Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
<p>Applicability of Rule 3230 to a three-party clearing agreement.</p>
L. B. FISHER & COMPANY16924 PRESTON BEND DRIVE, DALLAS, TX 75248Mailing Address: 16924 PRESTON BEND DRIVE, SUITE 3050, DALLAS, TX 75248L.J. HART AND COMPANY8000 FORSYTH BLVD, ST. LOUIS, MO 63105Mailing Address: 8000 FORSYTH BLVD, CLHART, ST. LOUIS, MO 63105L.M. KOHN & COMPANY10151 CARVER RD., SUITE 100, CINCINNATI, OH 45242L.O. THOMAS & CO. INC.LINWOOD COMMONS-SUITE A-6,
Summary
FINRA’s Renewal Program supports the collection and disbursement of fees related to the renewal of broker-dealer (BD) and investment adviser (IA) registrations, exempt reporting and notice filings with participating self-regulatory organizations (SRO) and jurisdictions. FINRA communicates information about renewal fees BD and IA firms owe via a Preliminary Statement in November, and
Sec. 8.15 The Independent Agent shall set aside a ballot if: (a) the ballot is received from a FINRA member eligible to vote in the district and the ballot is signed by a person who is not the Executive Representative listed on the vote qualification list prepared under Section 8.12, and the Secretary of FINRA has not received proper notice of a change in Executive Representative
Executive Summary
The annual meeting of FINRA firms will take place on or about Friday, August 7, 2020, to elect one Large Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about Wednesday, July 8, 2020.
The purpose of
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns and consulting with FINRA on proposed policies and
