SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
(a) With respect to all disqualifications, except those arising solely from findings or orders specified in Section 15(b)(4)(D), (E) or (H) of the Exchange Act or arising under Section 3(a)(39)(E) of the Exchange Act, after an application is filed, the Department of Member Regulation may recommend the continued membership of a disqualified member or sponsoring member or the association or
The Series 6 exam — the Investment Company and Variable Contracts Products Representative Qualification Examination (IR) — assesses the competency of an entry-level representative to perform their job as an investment company and variable contracts products representative.The exam measures the degree to which each candidate possesses the knowledge needed to perform the critical functions of an
Testimony Before Employee Benefits Security Administration Advisory Council on Employee Welfare and Pension Benefit Plans
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).
FINRA financial calculators have been independently audited to ensure their accuracy.
A major hurricane is bearing down on the East Coast, and others likely will follow. As millions scramble to prepare for this latest natural disaster, it pays to assemble a financial emergency kit now.
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of August 21, 2000, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
BIOB.GA
Bio-Rad Laboratories Inc.
11.625
02/15/07
CPN.GH
Register for the June 3 Small Firm Conference Call on the intersection of cybersecurity, fraud and financial crimes, with resources, tools and tips for mitigating risks. Registration is open to all member firms.
