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Notice to Members 98-44
SUGGESTED ROUTING Legal & Compliance Operations Systems Trading Executive Summary Effective July 1, 1998, tier sizes for 520 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g). For more
Regulatory Notice 10-23
SEC Approves Reporting Asset-Backed Securities Transactions to TRACE and Related Fees
Notice to Members 03-54
REQUEST FOR COMMENT Compensation for the Sale of Investment Company Securities Comment Period Expires: October 17, 2003 SUGGESTED ROUTING KEY TOPICS Advertising/Investment Companies Executive Representatives Legal & Compliance Mutual Fund Registered Representatives Senior Management NASD Rule 2830 Revenue Sharing
Testimony Before the Subcommittee on Financial Institutions and Consumer Credit
I am John Gannon, Senior Vice President for Investor Education with the Financial Industry Regulatory Authority, or FINRA. On behalf of FINRA, I would like to thank you for the opportunity to testify today.
Monthly Disciplinary Actions - December 2018
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).
Monthly Disciplinary Actions April 2014
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).
Monthly Disciplinary Actions December 2010
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).
Monthly Disciplinary Actions July 2001
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).
Monthly Disciplinary Actions June 2010
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 theMunicipal Securities Rulemaking Board (MSRB).
Monthly Disciplinary Actions May 2012
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).