FINRA Requests Comment on a Concept Proposal to Develop the Comprehensive Automated Risk Data System
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
The simplified arbitration rules apply to arbitrations involving $25,000 or less, exclusive of interest and expenses
Price Validation and Price-Override Protocol
GUIDANCE
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD members of modifications to the NASD
Sanction Guidelines (Guidelines). NASD is amending the quality of
markets guidelines and the guidelines for violations of
The use of negative response letters to transfer customers serviced by "independent contractor" registered representatives from one introducing broker dealer to another may conflict with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.
<p>Applicability of Rule 3040 to investment advisory activities of an individual who is dually registered as a registered representative and a registered investment advisor.</p>
FINRA Reminds Firms of Their Obligations Under the
Foreign Corrupt Practices Act
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
FINRA Revises the Series 9/10 Examination Program
