Displaying 101 - 110 of 1730 Results
Monthly Disciplinary Actions August 2010
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Notice To Members 95-84
SUGGESTED ROUTING Senior Management Legal & Compliance Registration Systems Trading Below are the summary conclusions and recommendations that the Rudman Committee released on Tuesday, September 19, 1995. Overall Conclusions Based on its Review, the Select Committee concludes that the NASD® has discharged its self-regulatory responsibilities, not of course with perfection or
6 Tips for Parents Looking To Improve Financial Literacy in Kids
Some students heading back to school this fall will see at least a bit of their classroom time devoted to personal finance, but that doesn’t mean the lessons should stop there. Here are six tips for parents looking to guide their kids toward wise money management at an early age.
Regulatory Notice 15-16
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
Regulatory Notice 12-11
SEC Approves New FINRA Rule 4524 Requiring the Filing of Supplemental FOCUS Information and a Supplementary Schedule to the Statement of Income (Loss) Page of the FOCUS Report
Tips for Managing a Financial Windfall
A financial windfall might seem like an uncomplicated blessing, but found money of any size requires thoughtful management to maximize its full potential. Beneficiaries might find that they have an urge to splurge, are unsure how to invest their assets, or are targeted by fraudsters—any of which can lead to a money blunder.
The Maintaining Qualifications Program (MQP)
FINRA’s Maintaining Qualifications Program (MQP) allows eligible individuals to maintain their qualifications for up to five years by completing CE annually.
Regulatory & Compliance Alert - Fall 2002
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Continuing Education (CE)
In conjunction with other self-regulatory organizations and the Securities Industry/Regulatory Council on Continuing Education, FINRA administers the continuing education (CE) program for the securities industry. CE consists of two mandatory programs: the Regulatory Element and the Firm Element.
Notice to Members 02-55
REQUEST FOR COMMENT Regulation of IPO Allocations and Distributions Comment Period Expires: September 9, 2002. SUGGESTED ROUTING KEY TOPICS Corporate Financing Legal & Compliance Registered Representatives Senior Management Trading & Market Making Flipping IPO Allocations NASD Rule 2710 NASD Rule 2712 Penalty Bids Spinning Underwriting Compensation