Displaying 2281 - 2290 of 28153 Results
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) recently approved amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials," under Article III, Section 1 of the NASD Rules of Fair Practice. 1/ These amendments, which became effective on April 29, 1986, provide for a surcharge and an
FINRA’s Board of Governors met on March 3 and 4, when it approved proposed amendments to FINRA’s Borrowing From or Lending to Customers Rule, approved the allocation of 2020 fine monies to various capital initiatives in accordance with FINRA’s Financial Guiding Principles, and moved forward with an advanced analytics strategic initiative.
March 10, 2021
FINRA’s Board of Governors met
I M P O R T A N T
Officers * Partners * Proprietors
TO; All NASD Members
As discussed in Notice to Members 83-73, the Securities & Exchange Commission adopted Rule 15c2-2 on November 18, 1983. The Rule prohibits broker-dealers from using mandatory arbitration clauses in customer agreements that purport to bind public customers to the arbitration of claims arising under the federal
<p>Application of Rule 2820 (h) to a non-cash compensation arrangement that excludes variable annuity contracts that are sold in exchange transactions pursuant to Internal Revenue Code Section 1035 or pursuant to a rollover transaction under Internal Revenue Code Section 402.<br />
</p>
Summary
FINRA warns member firms of an ongoing phishing campaign that involves fraudulent emails (see sample in Appendix) purporting to be from “FINRA Membership” and using the email address “[email protected]”. The email asks the recipient to respond to an issue of “regulatory non-compliance for which your immediate response is required” and then asks the recipient to click on a link or
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Expedited List Selection
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
(a) Responsibility to Expedite Customer's Request
(1) When a customer whose securities account is carried by a member (the "carrying member") wishes to transfer securities account assets, in whole or in specifically designated part, to another member (the "receiving member") and gives authorized instructions to the receiving member, both members must expedite
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
The 1998-1999 renewal cycle for
FINRA Revises the Series 55 Examination Program