INFORMATIONAL
Borrowing From and Lending to Customers
Effective date: November 10, 2003
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Executive Representatives
Legal & Compliance
Registered Representatives
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Borrowing From and Lending to Customers
Rule 2370
Executive Summary
On August 29, 2003, the Securities
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2014
Exemptive relief is denied based on the following considerations: (1) this marks the second time in three years that Name made a political contribution without following the Firm’s established pre-clearance processes resulting in a prohibition of municipal securities business under the Rule;5 and (2) Name has an extremely high profile within the Firm and the state’s political and business community. -
March 2011 Supplement to the Options Disclosure Document
FINRA Highlights Examination Approaches, Common Findings and Effective Practices for Complying With its Suitability Rule
Effective March 13, 2008, when issuing liability notices in connection with certain securities transactions, firms are required to use the automated liability notification system of a registered clearing agency, provided that both parties to the contract are participants in a registered clearing agency that has such an automated system.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
GUIDANCE
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Legal & ComplianceOperationsSenior Management
Clearing FirmsIntroducing FirmsNASD Rule 2342Securities Investor Protection Act of 1970 (SIPA)Securities Investor Protection Corporation (SIPC)SIPC BrochureSIPC Web Site
SIPC Information
Executive Summary
On May 10, 2007, the Securities and Exchange Commission (SEC) approved NASD Rule 2342
Comment Period Expires May 31, 1999
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