Unless otherwise indicated, suspensions will begin with the opening of business on Monday, March 18, 1996. The information relating to matters contained in this section is current as of March 5, 1996. Information received subsequent to March 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Domestic Capital, Inc. (Buffalo, New York), Michael A. Wier (Registered
INFORMATIONAL
Investment Companies And Variable Contracts
Effective Date: April 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Training
Variable Contracts
Investment Companies
Regulatory Notice
Suggested Routing
Senior Management
Advertising
Corporate Finance
Government Securities
Institutional
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Systems
Trading
Training
Executive Summary
On January 29, 1996, the Securities
and Exchange Commission (SEC)
approved amendments to Sections
1(a)(v)
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements; Effective Date: February 19, 2008
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
FINRA Requests Comment on TRACE Dissemination Issues
SEC Approves Changes to Arbitration Rules on Definition of Associated Person, Distribution of the FINRA Discovery Guide and Applicability of Hearing Session Fees
FINRA Recommends Review of Municipal Securities Activities
FINRA Provides Guidance on its Enforcement Process
