January 2011 Supplement to the Options Disclosure Document
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
January 2012 Supplement to the Options Disclosure Document
These calculators are designed to be informational and educational tools only, and when used alone, do not constitute investment advice.
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
General overview of the rule making process.
SEC Approves Changes to Expand the Information Released Through BrokerCheck and Establish a Process to Dispute (or Update) Information Disclosed Through BrokerCheck
FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases). These summaries call attention to, and remind registered representatives and firms of, specific conduct that violates FINRA rules and may result in disciplinary action.
FINRA Entitlement User Account Certification
Advertising Department's response to recommendations of the Investment Company Institute concerning member use of hyperlinks.
