SEC Approves Extension to IM-10100 Pilot
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Registered Representatives Registered Principals Senior Management
Arbitration Associated Persons California Disclosure Standards Members
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved an extension to a
2008 Ape so strap in. There isn't enough space to cover everything so let me summarize: For every crime someone, say, making more or less than $200k in the market, be it collusion, insider trading, fraud, or what have you, committed and was jailed for, is evenly handed UP to those making more than $1mil to $2 BILLION more or less in the market. (That can be made easier by) *ban and make
SEC Approves Amendments to FINRA Dispute Resolution By-Laws
Thank you, Elisse. Good morning, everyone - it's wonderful to see all of you here today. All of us at FINRA are committed to assisting you with your compliance efforts and these conferences are a large part of that effort. I'm thrilled you took the time to come to Scottsdale.
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veteran's Day, Thursday, November 11, 1993, and Thanksgiving Day, Thursday, November 25, 1993. On Thursday, November 11, The Nasdaq Stock MarketSM and the securities exchanges will be open for trading.
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
Earlier this year, the provisions under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") with respect to withholding on dividends and interest was repealed by Congress.
Shortly after the repeal of withholding, the Interest and Dividend Tax Compliance Act of 1983 ("
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On January 26, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Article VI, Section 3 of the NASD By-Laws that permits the NASD to institute revocation proceedings against any member or associated person that fails to pay an arbitration award rendered by an NASD panel if a
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceTraining
Executive Summary
The NASD announces the publication of the NASD Sanction Guidelines (Guidelines). The Guidelines are being published so that members may become more familiar with some of the typical securities industry violations that occur and the disciplinary sanctions that may result.
Background
The Guidelines
Web EFT Frequently Asked Questions
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to Schedule C of the NASD By-Laws relating to the premembership interview process for applicants for NASD membership. The
