A member is not an "affiliated member" of an insurance company for purposes of Rule 2820(g)(4)(D) where no control relationship exists between the entities.
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
INFORMATIONALBorrowing From and Lending to CustomersEffective date: February 18, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementBorrowing From and Lending to CustomersRule 2370Executive SummaryOn August 29, 2003, the Securities and Exchange Commission (SEC) approved the adoption of NASD Rule 2370, prohibiting registered
INFORMATIONAL
Board of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Senior Management
NASD Board of Governors
The Annual Meeting of members of NASD will be held on January 6, 2004. The formal notice of the meeting, including the precise date, time, and location of the Annual Meeting, will be mailed on
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Upcoming Election to Fill FINRA District Committee Vacancies
Filing Due Dates For Web-Based FOCUS, Annual Audits, Customer Complaint Information, And Short Interest Reporting
FINRA Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
INFORMATIONAL
Mediation Fees
Effective Date: November 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Dispute Resolution
Mediation
Executive Summary
On August 11, 2000, the Securities and Exchange Commission (SEC) approved a change to the Code of Arbitration Procedure (Code) to permit NASD Dispute Resolution, Inc., (NASD Dispute
