List of extension reason codes with summary information and filing details.
FINRA Revises the Sanction Guidelines
GUIDANCE
Active Military Service
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
Training
Active Military Duty
Continuing Education
IM-1000-2
Inactive Status
Registration Requirements
Rule 1021(c)
Rule 1031(c)
Rule 1041(c)
Transaction-Related Compensation
Executive Summary
On
ROUTE TO
Senior ManagementOperationsOther
Attn: Operations Officer, Cashier, Fail-Control Department
On June 28,1988, the United States District Court for the Northern District of Oklahoma appointed a SIPC trustee for the above firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open OTC
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 30, 1985, the United States District Court of South Carolina, Charleston Division, appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC
Watch previously recorded webinars on demand and learn about the transition of registration compliance and continuing education workflows from FINRA’s legacy registration systems to FINRA’s centralized compliance platform, FINRA Gateway.CE Transformation: Annual CE System ToolsDuring this webinar, FINRA staff reviews tools available in FINRA Gateway to assist firms in tracking annual regulatory
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 16, 1985, the Federal District Court for the Eastern District of Arkansas appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts. Also
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 10, 1985, the United States District Court for the District of New Jersey appointed a Temporary Receiver for the above captioned firms.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close-out open OTC contracts.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 7, 1985, the United States District Court for the Central District of California appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close-out open OTC contracts.
A self-directed individual retirement account (IRA) is an IRA held by a custodian that allows investment in a broader set of assets than most IRA custodians permit. Custodians for self-directed IRAs may allow investors to invest retirement funds in “alternative assets” that have unique risks, including a lack of information and liquidity—and the risk of fraud.
