SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Systems
Trading
Below are the summary conclusions and recommendations that the Rudman Committee released on Tuesday, September 19, 1995.
Overall Conclusions
Based on its Review, the Select Committee concludes that the NASD® has discharged its self-regulatory responsibilities, not of course with perfection or
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
Representatives of broker-dealers, investment advisers or issuers of securities must use the Form U4 (Uniform Application for Securities Industry Registration or Transfer) to be registered with the appropriate jurisdictions and/or self-regulatory organizations (SROs). FINRA, other SROs and jurisdictions use the Form U4 to elicit employment history, disciplinary and other information about individuals to register them.
Answer – A respondent's written reply to a claim.
Arbitration Case Administrator – The person at FINRA who handles administrative matters in arbitration proceedings.
Arbitrator – A person chosen to decide arbitration disputes between parties.
Associated Person – An associated person is any person engaged in the investment banking or securities business who is directly or indirectly
The Small Firm Conference focuses on small firms' practices and tips for complying with FINRA rules. Throughout the event, attendees have the opportunity to discuss small firm topics with FINRA senior staff.All times listed are Central Time.Wednesday, October 81:00 p.m. – 3:30 p.m.*Optional Workshop – Pre-registration required: Vendor Management Checklist Workshop and Loss of Critical Third-
FINRA members that trade securities listed on the NYSE ("Tape A"), Amex and regional exchanges ("Tape B"), or Nasdaq ("Tape C") in over-the-counter transactions reported to the FINRA/NYSE Trade Reporting Facility may receive from the FINRA/NYSE Trade Reporting Facility transaction credits based on the transactions attributed to them. A transaction is attributed to a
Membership Application Time Frames
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Dispute Resolution Services invites you to take advantage of significantly reduced mediation prices during FINRA Mediation Settlement Month. To participate in this program, Parties must have entered into a mediation agreement by October 31 and conducted the mediation by December 31.The SavingsFINRA participating mediators will offer the following rates for mediation sessions, to be
SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Operations
Systems
*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 Code to provide for the automation of the NASD's
