The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
Sec. 3. The Board may employ or authorize the employment and prescribe the powers and duties of such agents and employees as it deems necessary or advisable. The employment and compensation of such agents and employees shall be at the pleasure of the Board, provided that such determinations are not inconsistent with the requirements of the Delegation Plan. Except as provided in Article
Sec. 8.14 After the close of the voting period, the Independent Agent shall tabulate the ballots and notify the Secretary of FINRA Regulation of the voting results for each Regional Committee position subject to election within 14 calendar days after the return date specified on the ballot pursuant to Section 8.11.
Amended by SR-FINRA-2018-021 eff. May 18, 2018.
Amended by
Sec. 6.9 The Independent Agent shall investigate any ballot returned undelivered and shall determine whether it was sent to the FINRA member's address of record. If incorrectly addressed, the Independent Agent shall send a new ballot to the FINRA member's address of record.
Amended by SR-FINRA-2016-014 eff. Aug. 11, 2016.
Renumbered from Sec. 6.21 and amended by
INFORMATIONALSanction GuidelinesSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementDeterrence of Future MisconductNASD Sanction GuidelinesExecutive SummaryThis Notice advises NASD members of modifications to the NASD Sanction Guidelines (Guidelines). NASD is modifying General Principles Nos. 1 and 3 of the Guidelines to
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 26, 1992, the following 47 issues joined the Nasdaq National Market, bringing the total number of issues to 2,900:
Symbol
Company
Date
SOES Execution Level
TDSRF
3-D Systems, Inc. (Rts)
5/27/92
1000
MSYSW
Medical Technology
BrokerCheck is a free tool from FINRA that can help you research the professional backgrounds of investment professionals, brokerage firms and investment adviser firms.Where BrokerCheck Information Comes FromBoth brokerage firms and individuals must be registered with FINRA to conduct securities transactions and business with the investing public. Individuals might also be required to meet state
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of April 21, 1992, the following 65 issues joined the Nasdaq National Market bringing the total number of issues to 2,819:
Symbol
Company
Entry Date
SOES Execution Level
CBSA
Coastal Bane Savings Association
3/25/92
1000
COLL
Collins
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of January 27, 1992, the following 43 issues joined the Nasdaq National Market, bringing the total number of issues to 2,690:
Symbol
Company
Entry Date
SOES Execution Level
PRFM
Perfumania, Inc.
12/19/91
500
MSMR
Missimer &
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Registration (Form U-5). The changes to Form U-4 include
