IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 3, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to the NASD Rules of Fair Practice that would require advertising and sales literature for publicly offered direct participation programs to be filed with the NASD's Advertising Department. The NASD will
TO: All NASD Members and Interested Persons
ATTN: Compliance and Registration Personel
This notice reviews the application of certain qualification and registration requirements of Schedule C of the NASD By-Laws for persons who solicit new accounts on behalf of members. It also announces the Securities and Exchange Commission's approval of an amendment to Schedule C, which expands the
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
TO: All NASD Members
The Association's Board of Governors is publishing for comment a proposed new Rule of Fair Practice relating to permission for members to carry customer accounts. Interested persons are advised that comments must be received by the Association by September 22, 1983, in order to receive consideration. After the comment period has closed, the proposal will again be
ACTION REQUIRED
Financial Accounting
SUGGESTED ROUTING
KEY TOPICS
Accounting
Financial Compliance
Operations
Senior Management
Financial Accounting
FOCUS Reporting
Net Capital
Executive Summary
In May 2003, the Financial Accounting Standards Board (FASB) released Statement No. 150, Accounting for Certain Financial
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes
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 the Municipal Securities Rulemaking Board (MSRB).
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.
(a) Obligations of the Registered Person
(1) A registered person shall decline being named a beneficiary of a customer’s estate or receiving a bequest from a customer’s estate upon learning of such status unless one of the following conditions is satisfied:
(A) The customer is a member of the registered person's immediate family; or
(B) Upon learning of such status, the
What does Ombuds mean? Ombuds is a term originating from Sweden and means representative. The International Ombuds Association describes an ombuds as “one who assists individuals and groups in the resolution of conflicts or concerns.”
