FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
The Series 63 exam — the Uniform Securities State Law Examination — is a North American Securities Administrators Association (NASAA) exam administered by FINRA.The exam consists of 60 scored questions and 5 unscored questions. Candidates have 75 minutes to complete the exam. In order for a candidate to pass the Series 63 exam, they must correctly answer at least 43 of the 60 scored questions.For
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).
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is requesting comment on proposed amendments to Rule 15c3-1, the Net Capital Rule. The SEC proposes to create a new category of broker/dealer for affiliates conducting an OTC derivatives business that would have
INFORMATIONAL
OATS
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Order Audit Trail System
Executive Summary
NASD Regulation, Inc. (NASDR) is issuing this Notice to
INFORMATIONAL
Predispute Arbitration Agreements
Effective Date: June 11, 2001
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KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration
Code of Arbitration Procedure
Executive Summary
On April 6, 2001, the Securities and Exchange Commission (SEC or Commission) approved an amendment to National Association of
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposal to amend Schedule A of the NASD By-Laws for the timely filing of reports and to amend NASD IM-9216 to expand the NASD's Minor Rule Violation Plan pursuant to SEC Rule 19d-1.
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Martin Luther King, Jr., Day: Trade Date-Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Martin Luther King, Jr., Day, Monday, January 20, 1997. On January 20, 1997, The Nasdaq Stock Market and the
Upcoming Election to Fill FINRA District Committee Vacancies
An exemption is granted based on consideration of the MSRB’s published interpretation of Rule G-37 regarding mergers of corporations in the municipal securities industry3 and on your representation that Individual will not be engaged in helping Firm A obtain municipal securities business or engaged in municipal securities representative activities before September 24, 2001, when the two-year ban under Rule G-37 would otherwise expire.
