(Centro de Reclamo para el inversionista)Most business in the securities industry is conducted fairly, efficiently and in a manner that satisfies everyone involved. But problems can arise. If you believe that a brokerage firm or other industry professional has treated you unfairly, contact the firm to see if you can resolve the issue. If you are still not satisfied with the firm's response,
(a) Transfer Books Open
A certificate in the name of a corporation or an institution, or in a name with official designation shall be a good delivery only if the statement "Proper papers for transfer filed by assignor" is placed on the assignment and signed by the transfer agent.
(b) Transfer Books Closed
Where a certificate, an assignment or a power of attorney is in the
Form U5
Once your employment ends, your firm must, within 30 days of your employment termination, file a Uniform Termination Notice for Securities Industry Registration,
form-u5.pdf
, with FINRA via CRD and provide you with a copy of that filing. The Form U5 indicates the date you terminated employment with the firm and the reason for your
This data provides comprehensive information on to-be-announced (TBA) securities that traded within the past 10 years. A TBA security is effectively a contract to buy or sell mortgage-backed securities on a specific date.
You should be aware that certain types of conduct in the securities industry are prohibited.
(a) Generally
Except as otherwise provided in the Code, a dispute must be arbitrated under the Code if the dispute arises out of the business activities of a member or an associated person and is between or among:
• Members;
• Members and Associated Persons; or
• Associated Persons.
(b) Insurance Activities
Disputes arising out of the
A member who is acting as a broker for a customer or for both such customer and some other person, or a member who is acting as a dealer and who receives or has promise of receiving a fee from a customer for advising such customer with respect to securities, shall, at or before the completion of any transaction for or with such customer in any security in the primary or secondary distribution
Following are "Frequently Asked Questions" regarding the Order Audit Trail System (OATS).
REQUEST FOR COMMENT
NASD Seeks Comment on Enhanced Access to NASD BrokerCheck (Formerly Known as NASD's Public Disclosure Program)
Comment Period Expires: January 9, 2004
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Legal & Compliance
Senior Management
Central Registration Depository
INFORMATIONAL
Continuing Education
Effective Date: January 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Regulatory Element
Executive Summary
Effective January 1, 2004, the fee for the Regulatory Element of Continuing Education will be reduced from $65
