(a) Each member shall maintain the following information:(1) for each account: (A) customer's name and residence;(B) whether customer is of legal age;(C) name(s) of the associated person(s), if any, responsible for the account, and if multiple individuals are assigned responsibility for the account, a record indicating the scope of their responsibilities with respect to the account
INFORMATIONAL
SEC Approves Proposed Rule Change
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On November 17, 2000, the Securities and Exchange Commission (SEC
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Continuing Education
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Continuing Education Regulatory Element Notification
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Executive Summary
National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central
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).
Comment Period Expires July 16, 1999
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Comment Period Expires September 30, 1999
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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).
Many disputes that do not settle in mediation end with the declaration, “We can do better at trial.” But as the parties and mediator leave the room, they may ask
themselves if that assertion is accurate.
Dissemination of Qualified Contingent Trades Reported to FINRA
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
