The Executing Firm 10 Second Compliance Report Card is a monthly status report for trades that another firm reported on behalf of the market participant. The report contains counts of properly modified late trades, late trades that were not modified, and improperly modified trades.
Executing Firm is defined as the member that receives an order for handling or
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
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Executive Summary
Every person registered with a member of the NASD® must notify the NASD of his or her current mailing address. This obligation exists while a registrant is associated with any NASD member firm, and continues for as long as the NASD retains jurisdiction to bring a
The Securities and Exchange Commission (SEC) recently issued an investor alert listing some of the risks associated with using credit cards to buy investments or to fund an investment account.
Amendments to Incorporated NYSE Rules to Reduce Regulatory Duplication; Effective Date: November 11, 2008
VALDES & 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
October 2008 Quarterly Disciplinary Review - FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives.
1. What types of Dual Deficiencies exist?
There are three deficiencies: RR/RR, RR/RA, RA/RA. A state may have different requirements for each registration combination. Contact the state regulator directly.
Electronic Refiling And Payment Reminders
Form BD Refile- Deadline: Dec. 15, 1999
The Securities and Exchange Commission (SEC) has required all broker/dealers to electronically file new information elicited by the revised Form BD and any information that NASD Regulation was unable to convert to the new Web CRDSM format. (NASD Regulation was able to convert some, but not all, of the broker/
FINRA Revises the Product and Problem Codes Used for Reporting Customer Complaints and Filing Required Documents Online
