(a) Applicability
The hearing procedures under this Rule shall apply to a member, person associated with a member, person subject to FINRA's jurisdiction or other person who is served with a notice issued under the Rule 9550 Series and who timely requests a hearing or who is served with a petition instituting an expedited proceeding under Rule 9556(h). For purposes of this Rule, such
Notice of Annual Meeting of FINRA Firms and Proxy
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
Members are advised that the National Association of Securities Dealers, Inc. (NASD®) has filed a proposed rule change to its Membership and Registration Rule 1120 (
Comment Period Expires October 3, 1994
SUGGESTED ROUTING
Senior Management Corporate Finance Institutional Legal & Compliance Mutual Fund
Executive Summary
The NASD requests member comment on proposed amendments to Article III, Sections 26 and 29 of the Rules of Fair Practice that would revise existing rules applicable to the sale of investment company securities and establish new
TO: All NASD Members and NASDAQ Subscribers
On October 5, 1983, the Securities and Exchange Commission adopted a rule change which will require all foreign issuers seeking inclusion in NASDAQ to be registered pursuant to Section 12(g) of the Securities Exchange Act of 1934. This registration requires foreign issuers to file periodic reports with the Commission similar to those filed by domestic
Thank you for that kind introduction. It's a pleasure to be here with you this morning. Two weeks ago, I had the opportunity to speak at the Museum of Financial History.
As prepared for delivery
Thank you, Drew [Bowden] for that introduction, and thanks also to IRI for the invitation to speak here today. It’s my pleasure to update you on what we are doing and thinking about at FINRA.
I don’t need to tell anyone in this room how rapidly the legislative and regulatory environment is changing and evolving. We are all seeing it and living it every day. But, many of
March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
FINRA has revised the following examination programs:
Summary
Many investment companies provide sales charge discounts and waivers on their products for customers in certain circumstances described in their product offering documents (e.g., prospectuses or statements of additional information). These include volume-based discounts, such as breakpoints and waivers, on mutual fund exchanges. Failure to apply these discounts or waivers correctly may
