The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
INFORMATIONAL
NASD Consultative Committees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Consultative Committees
District Committees
Enforcement Actions
Market Regulation Committee
Executive Summary
NASD is issuing this Notice to replace and supersede Notice to Members 03-10, which discussed
FINRA rules require that member's communications with the public be accurate, fair and not misleading. An investor considering the series of a broker-dealer, including a "discount" broker, should be informed of all factors material to his use of such broker-dealer's services. There are many variables in the charges and services offered by broker-dealers and it isn't reasonable to expect that every variation be included in media advertising, given the expense of such advertising. Relevant factors not included in advertisements should be communicated to persons responding, however. Certain items should be included in the advertisement itself, when the advertisement would be misleading in the absence of their disclosure.
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective July 1, 1998, tier sizes for 520 Nasdaq National Market® securities will be revised in accordance with National Association of Securities Dealers, Inc. (NASD®) Rule 4710(g).
For more
Remarks From the SIFMA Compliance and Legal Division's Annual Seminar
For the period of 2/1/2025 through 2/28/2025AACANTHUS U.S. LIACANTHUS U.S. LIMITED10-12 BLANDFORD STREET, LONDON W1U 4AZ UNITED KINGDOMADMITTEDAIRLINK MARKETS,AIRLINK MARKETS, LLCISSAQUAH, WA, UNITED STATESEXPELLED PER RULE 9552 - FAILED TO FILE ITS QUARTERLY FOCUS REPORTALLEGHENY INVESTALLEGHENY INVESTMENTS, LTD.PITTSBURGH, PA, UNITED STATESRESIGNEDALMAX FINANCIALALMAX FINANCIAL
New Courses – April 2025AML Compliance: Account MonitoringRegulatory Concerns for New ProductsAnalyzing Investor GrowthAnnual 2025 AML Review2025 Annual Industry Priorities ReviewInvestor Trends: Exploring the Changing Investor Landscape2025 Supervisory Trends2025 Annual Compliance ReviewOn This PageOverviewBackgroundDelivery MethodsLicense Types and PricingAccess to FLEXFINRA E-Learning
Executive SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the NAC, and candidates for vacant Regional Committee seats
Terms and acronyms candidates may encounter in FINRA qualification exams.
