(a) Authority of Adjudicator and FINRA Staff
For the purpose of an investigation, complaint, examination, or proceeding authorized by the FINRA By-Laws or rules, an Adjudicator or FINRA staff shall have the right to:
(1) require a member, person associated with a member, or any other person subject to FINRA's jurisdiction to provide information orally, in writing, or
REQUEST FOR COMMENT
Certification by Chief Executive Officer and Chief Compliance Officer
Comment Period Expires on: July 11, 2003
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Executive Representative
Legal & Compliance
Senior Management
Compliance
Supervision
Executive Summary
NASD is proposing to amend Rule 3010 and adopt
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).
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
NASD Regulation, Inc. would like to remind member firms of their obligation to file the appropriate FOCUS reports, Annual Audits, Customer Complaint information, and Short Interest Reporting by their due dates. The following schedule outlines due dates for 2001. Questions regarding
Summary
Several firms have recently informed FINRA that malicious actors are using registered representatives’ names and other information to establish websites (“imposter websites”) that appear to be the representatives’ personal sites and are also calling and directing potential customers to use these imposter websites. Imposters may be using these sites to collect personal information from
I am Barry R. Goldsmith, Executive Vice President for Enforcement of NASD Regulation, Inc. (NASDR). NASDR and its parent, the National Association of Securities Dealers, Inc. (NASD®), would like to thank the Subcommittee for this opportunity to testify at today’s hearing.
SEC Approves Amendments to FINRA Rule 6730(d)(2) Requiring Firms to Report Factor in Asset-Backed Securities Transactions Executed in Agency Capacity and Subject to Commission Charges
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).
As prepared for delivery
Electronic Trading in the Bond Markets
Good morning. Thank you [Mark Monahan] for that introduction. I’m pleased to have this opportunity to join today’s conversation on the increasing automation of fixed income markets.
Many of us have been in the securities business long enough to appreciate how the first electronic trading system—the NASDAQ quotation system that was
GUIDANCE
Fingerprinting Procedures
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KEY TOPICS
Legal and Compliance
Registration
Senior Management
Best Practices
Fingerprinting
Executive Summary
NASD is issuing this Notice to Members to remind members to review and, as necessary, update their fingerprinting procedures to help ensure that fingerprints
