NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundOperations*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III. Section 15 of the NASD Rules of Fair Practice that would permit members to use negative-response letters in bulk exchanges of
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The 1989-90 NASD broker-dealer and agent registration renewal cycle will begin in early November. This program allows for simplification of the renewal process through the payment of one invoice amount that
We publish The Neutral Corner
to provide arbitrators and
mediators with current updates
on important rules and
procedures within securities
dispute resolution. FINRA’s
dedicated neutrals serve parties
and other participants in the
FINRA forum by taking advantage
of this valuable learning tool.
GUIDANCEExemptions to Reporting Requirements of Rule 3150Effective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementClearing FirmsExemptions to the Reporting Requirements of Rule 3150IM-3150National Examination Program (NEP) Surveillance (formerly referred to as INSITE)Rule 3150Executive SummaryThe Securities and Exchange
FINRA Requests Comment on the Effectiveness and Efficiency of Its Rule on the Annual Compliance Meeting
Summary
With the recent increase in the number of customers seeking to open brokerage accounts and trade options, FINRA reminds members of the requirements for determining whether to approve a customer to trade options. Regardless of whether the account is self-directed or options are being recommended, members must perform due diligence on the customer and collect information about the customer
We publish The Neutral Corner
to provide arbitrators and
mediators with current updates
on important rules and
procedures within securities
dispute resolution. FINRA’s
dedicated neutrals serve parties
and other participants in the
FINRA forum by taking advantage
of this valuable learning tool.
The purpose of this Election Notice is to distribute to FINRA Small Firm members1 ballots to elect the five regional members of the Small Firm Advisory Board (SFAB). The SFAB provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA's Small Firm members.
Firms are urged to vote in this election. For a ballot to be considered
Board Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on December 5, 2002, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to
