I am here today to tell you about the NASD’s recently proposed rules governing analyst recommendations. In light of what we have heard today and in the weeks following the Enron revelations, I think you will agree that these rules will help American investors.
The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
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).
It is me as a US Citizen and individual investor - not regulators who should be able to choose the public
investments that are right for you and your family.
Public investments should be available to all of the public,
not just the privileged.
We investors shouldn't have to go through any special process like passing a test before you can invest in public securities, like leveraged and
<p>Clarification of <i>NASD Notice to Members 96-33</i>: application of Rule 3040 to registered representatives of a distributor who also are employed by investment advisers to manage the portfolios of investment companies.<br/></p>
Summary
FINRA is introducing enhancements and presentation changes in the Central Registration Depository (CRD®) system that relate to the implementation of FINRA’s restructured qualification examination program and the adoption of consolidated FINRA registration rules. These changes, effective October 1, 2018, principally affect the Examination Requests and SRO Registrations sections.
February 13, 2007
Dear NASD Member:
Last year I sent a letter to members that highlighted new and existing regulations that were of particular significance to NASD’s examination program. The letter was designed to offer you guidance by identifying areas of potential examination focus, allowing you to enhance related supervisory and compliance procedures and systems at your firm. Because the
Unless otherwise indicated, suspensions will begin with the opening of business on Monday April 15, 1996. The information relating to matters contained in this section is current as of April 5, 1996. Information received subsequent to April 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
M. Rimson & Co. Inc. (New York, New York), Moshe Rimson (Registered
Every day, millions of equity trades are made off the major stock exchanges in what’s known as over-the-counter (OTC) trading. It’s a massive part of the global financial market, with OTC trading in certain types of financial products accounting for billions of dollars in trades daily. Learn more about OTC trading in equities and the unique risks that may be involved.
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).
