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
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
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).
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.
The Reg NMS Trade Through Report Card is a monthly statistical report detailing the transactions in NMS Securities that appear to have been reported by your firm to a Trade Reporting Facility ("TRF") or to FINRA's Alternative Display Facility at a price that traded through at least one protected best bid or offer at the respective time of execution. If non-compliance with the Order
Notice of Annual Meeting of FINRA Firms and Proxy
GUIDANCE
Expedited Proceedings
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Expedited Proceedings
Rule 9550 Series
Executive Summary
On March 9, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that creates the Rule 9550 Series to consolidate, clarify, and streamline most
Monthly Disciplinary Actions April 2018
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
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
