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
Nominees for Vacant FINRA Board of Governors Large Firm Seats
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).
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).
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).
On occasion, the securities markets may unexpectedly close for business, for example, on a national day of mourning declared by the president of the United States. This Notice provides updated guidance to members regarding SEA Rules 15c3-1, 15c3-3, 17a-5, Rule 204 under Regulation SHO, FINRA Rules 4210, 4230(b), 4521 and 4524, and Federal Reserve Board Regulation T in the event of such an unexpected close.
BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.Where BrokerCheck Information Comes FromBoth brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Individuals might also be required to meet state
FINRA Warns Firms of Hoax Emails That Purport to Be From Regulators
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).
The Neutral Corner Topical Index; Volume 5 - 2008; Curveballs: Unexpected Situations that Arise During a Hearing; Dispute Resolution News; Discovery Arbitrator Pilot; Did You Know; Question and Answer; Mediation and Business Strategies Update; Regional Updates
