SEC Approves Rules Establishing Procedures for Arbitrators Considering Expungement Requests
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
Neutral Corner - February 2007
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NASD Rule 3360
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Executive Summary
NASD is issuing this Notice to inform members of changes to the
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).
This request for exemptive relief is granted based on the representations that the Contributions were made prior to the individual's employment with the Firm, and the individual has never been involved in municipal securities business as defined by MSRB Rule G-37. Additionally, the Firm has agreed to institute information barriers and compensation restrictions, and the contributions have been returned.
On behalf of NASD, I would like to thank Chairman Sarbanes, Ranking Member Gramm, and the members of the Senate Banking Committee for this opportunity to testify.
FINRA Requests Comment on Proposed Rule to Establish a Leverage Limitation for Retail Forex
Oh really! But you will let me gamble at 100s of casinos and online gambling sites? !!!
This page is intended to serve as an at-a-glance resource to help broker-dealer firm users track the development of CRD program-related functionality in FINRA Gateway. Retirement dates for Classic CRD features will also be noted on this page as they are announced. Check back for updates and announcements throughout the transition from Classic CRD to FINRA Gateway.
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