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Quarterly Disciplinary Review - Fall Issue/September 2003
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).
Notice to Members 03-57
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Senior Management Continuing Education Firm Element Executive Summary The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
Improving Examination Results - April 2003
April 2003 In an effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each firm must
2009 Regulatory and Examination Priorities Letter
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
Quarterly Disciplinary Review - Fall Issue/September 2002
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).
Interpretive Letter to Marilyn J. Sponzo, Jorden Burt
Separate sales contests under NASD Rule 2820(g) for group variable annuity contracts and employer-sponsored retirement plans.
Remarks From the 2015 FINRA Annual Conference
As prepared for delivery. I would like to discuss with you today the important question of the appropriate standard of care for brokers and dealers or, more directly, whether the time has come to require broker-dealers, when recommending a security or strategy to retail investors, to ensure that the recommendation is in the “best interest” of the investor. A “best interest” or “fiduciary”
Notice to Members 07-29
GUIDANCE SUGGESTED ROUTING KEY TOPICS Legal & ComplianceOperationsSenior Management Clearing FirmsIntroducing FirmsNASD Rule 2342Securities Investor Protection Act of 1970 (SIPA)Securities Investor Protection Corporation (SIPC)SIPC BrochureSIPC Web Site SIPC Information Executive Summary On May 10, 2007, the Securities and Exchange Commission (SEC) approved NASD Rule 2342
2015 Regulatory and Examination Priorities Letter
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
Regulatory Notice 07-36
Supervision of Recommendations after a Registered Representative Changes Firms Regulatory Notice Notice Type Guidance Referenced Rules & Notices NTM 07-06 SEC Regulation S-P Suggested Routing Compliance Executive Representatives Legal Operations Senior Management Key Topic(s) SEC Regulation S-P Mutual Funds Registered Representatives Supervision Variable Products Executive