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.
Background
In March 2017, FINRA issued a Special Notice on its engagement programs as part of FINRA360. Based on comments and suggestions regarding the usefulness of some advisory committees, their membership and their effectiveness as a vehicle for dialogue between FINRA and member firms, FINRA is making several changes.
Operational Impact of Rule Changes
Rather than
• Outside Business Activities—Failure to Comply With Rule Requirements
• Selling Away (Private Securities Transactions)
• Transactions for or by Associated Persons—Failure to Comply With Rule Requirements
Outside Business Activities—Failure to Comply With Rule Requirements
FINRA Rules 2010 and 3270
Principal
• Outside Business Activities—Failure to Comply With Rule Requirements
• Selling Away (Private Securities Transactions)
• Transactions for or by Associated Persons—Failure to Comply With Rule Requirements
Outside Business Activities—Failure to Comply With Rule Requirements
FINRA Rules 2010 and 3270
Principal Considerations in
December 4, 2000NASD Regulation reminds firms that they must incorporate OATS into their Written Supervisory Procedures regardless of whether they are transmitting OATS data for themselves or if another entity is reporting on their behalf. Additionally, if another entity is reporting on behalf of the firm, the firm should have a copy of the written agreement with that entity, which specifically
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Operations
Executive Summary
On May 25, 1995, the Securities and Exchange Commission (SEC) approved an amendment to the Uniform Practice Code (UPC) adding new Section 72 requiring a member or its agent who is a participant in a registered clearing agency to use the facilities of such registered
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).
Effective February 1, 1994
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystems
Executive Summary
On October 26, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Section 65(f)(1) of the Uniform Practice Code (UPC) that clarifies the time frame within which members are required to initiate the resolution of fails resulting from
The Annual Meeting of member firms of the Financial Industry Regulatory Authority, Inc. (FINRA) will be October 26, 2007 at 10 a.m. in the FINRA Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of governors to the FINRA Board. Member firms can also raise other topics for discussion if they notify FINRA by October 19, 2007.1
It is
