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Monthly Disciplinary Actions June 2010
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).
Notice to Members 00-37
INFORMATIONAL MSRB Rule G-37 Exemptive Relief SUGGESTED ROUTING KEY TOPICS Fixed Income Internal Audit Legal & Compliance Municipal/Government Securities Senior Management MSRB Rule G-37 Exemptions Political Contributions Executive Summary NASD Regulation, Inc. (NASD RegulationSM) is publishing a National Adjudicatory Council (NAC) decision in which the NAC
Notice to Members 2000
Various updates.
Notice to Members 99-52
Last Voting Date: July 16, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund
SEC Regulation M-Related Notice Requirements Under FINRA Rules Frequently Asked Questions
The following FAQ is provided to facilitate firms' compliance with FINRA Rules 5190 (Notification Requirements for Offering Participants), 6275 (Withdrawal of Quotations) and 6435 (Withdrawal of Quotations in an OTC Equity Security in Compliance with SEC Regulation M). A comprehensive overview of these rules and related guidance is set forth in Regulatory Notice 08-74 and Regulatory
Regulatory Notice 14-12
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
Regulatory Notice 11-19
SEC Approves Consolidated FINRA Rules Governing Books and Records
Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Regulatory Notice 08-01
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2008 registration renewal process. Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.
Notice to Members 06-60
NTM 06-60 is superseded by NTM 06-72GUIDANCE Customer Account Statements SUGGESTED ROUTING KEY TOPICS Individual Investors Legal & Compliance Operations Registered Representatives Senior Management Clearing Firms Customer Account Statements Introducing Firms NASD Rule 2340 SIPA (Securities Investor Protection Act)