Displaying 27641 - 27650 of 28151 Results
GUIDANCE
NASD Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD member firms of modifications to the
NASD Sanction Guidelines (Guidelines). NASD has amended the
General Principles Applicable to All Sanction Determinations
(
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National Association of
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements; Effective Date: February 19, 2008
Continuing Education Planning
GUIDANCE
Cost Basis Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Cost Basis InformationRule 2110
Executive Summary
It has come to NASD's attention that some members may be purposely interfering with the transfer of cost basis information for customers who
GUIDANCEExecutive RepresentativesEffective Date: May 14, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementExecutive RepresentativeRule 1150Executive SummaryOn March 29, 2004, the Securities and Exchange Commission (SEC) approved a rule change to require members to review and, if necessary, update their executive representative designation and contact information
Notice of FINRA District Committee Elections and Ballots
FINRA Revises Sanction Guidelines
Continuing Education
Planning
Executive Summary
On July 2, 1998, the Securities and Exchange Commission (SEC or Commission) amended SEC Rule 17a-5 to require broker/dealers to complete reports regarding their readiness and activities to prepare their businesses to address Year 2000 challenges and risks. The Rule amendment was published in the Federal Register—63 FR 37667 on July 13, 1998. Complete Rule information is also