FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Guidance on Blogs and Social Networking Web Sites
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
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Upcoming Election to Fill FINRA District Committee Vacancies
NTM 06-72 supersedes NTM 06-60GUIDANCE
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)
SIPC (Securities Investor
Protection Corporation)
Executive
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
GUIDANCE
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission has approved amendments
to the arbitrator classification criteria set forth in Rule 10308 of
the NASD Code of Arbitration Procedure (Code) to ensure that
individuals with significant ties to the
Nomination and Election Process to Fill FINRA District Committee Vacancies
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
