NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The purpose of this Election Notice is to distribute to FINRA Small Firm members1 ballots to elect the five regional members of the Small Firm Advisory Board (SFAB). The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA's Small Firm members.
Firms are urged to vote in this election. For a ballot to be considered
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Arbitration/Mediation
Dispute Resolution Regional Offices
Executive Summary
On March 4, 2002, the NASD Dispute Resolution, Inc. (NASD DR) Western Region will consolidate its San Francisco and Los Angeles Regional Offices into one Regional Office in Los
If you graduated with a sizable amount of debt, you aren't alone. The high costs of college mean it’s common to finish school with thousands of dollars in student loans. Though repaying student loans might feel overwhelming, educating yourself about your obligations and options can help you develop a plan to tackle your debt.
In a letter to NASD Chairman and Chief Executive Officer Robert R. Glauber, dated January 15, 2003, former Securities and Exchange Commission (“SEC”) Chairman Harvey L. Pitt requested that NASD, joined by the Securities Industry Association (“SIA”) and the Investment Company Institute (“ICI”), convene a task force to recommend industry-wide changes to address errors and missed opportunities to
Representations under Rules 5130 and 5131 may be obtained electronically through a mobile application, provided that the method for obtaining representations complies with SEC and FINRA guidance regarding the use of electronic communications, and the representations satisfy the requirements set forth in Rules 5130 and 5131.
December 11, 2017
Lawrence Cohen
Of Counsel
Gordon Rees Scully
Series 7 registered representatives are not required to register under Series 55 as equity traders based solely on the fact that they perform the clerical function of entering customer phone orders into the same routing system that customers could use to enter orders electronically. The Series 7 representatives, under the facts described in the letter, would not provide any advice to the customers, including advice on possible paths or methods of execution.
SUGGESTED ROUTING*
Legal & Compliance
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Section 59 of the NASD's Uniform Practice
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
Notice of Annual Meeting of FINRA Firms and Proxy
