You’ve made the decision to work with an investment professional. You might notice that some candidates have a string of letters after their name. Chances are that this alphabet soup refers to one or more professional designations. Here are three things to know as you sort through the various credentials.
February 10, 2004NASD is publishing this article to provide guidance to member firms on supervisory responsibilities when using another entity to transmit OATS data on the firm's behalf. If a firm utilizes another member or non-member entity ("Reporting Agent") to record and transmit OATS data on its behalf, the member firm is still required to have written supervisory procedures
April 16, 2004NASD is publishing this article to provide further guidance regarding proper OATS supervision. Specifically, this article is designed to educate firms on the difference between operational and supervisory procedures.OATS is a highly technical application, as a result, many firms utilize operational procedures to give their staffs guidance on such tasks as how to create and send a
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
November 2, 1999Below is a summary of common data elements that are not being reported correctly to OATS. Failure to report timely, complete, and accurate information to OATS may constitute a violation of NASD Rules 6955 and 2110. Please review the items below, and if you have questions contact Business and Technology Support Services at (800) 321-NASD or via e-mail.Account Type Code—This data
FINRA Amends Section 13 of Schedule A to the FINRA By-Laws to Establish Charges for New Option to File Websites and Web Pages in Native Format
Rule Change Expands Entry Opportunities to the Securities Industry
WASHINGTON — The U.S. Securities and Exchange Commission (SEC) has approved the Financial Industry Regulatory Authority’s rule proposal to streamline competency exams and expand opportunities for prospective securities professionals seeking to enter or re-enter the securities industry.
FINRA today issued Regulatory Notice 17-30
November 2, 1999The data in all ROEs in a single FORE must belong to the firm identified by the Order Receiving Firm MP ID in the FORE header. In the majority of cases, the Order Receiving Firm MP ID in the FORE header and in each ROE will be identical. However, when an Order Receiving Firm has multiple MP IDs or has changed its MP ID recently, it is acceptable for the MP ID in the FORE header to
SEC Approves Consolidated FINRA Registration Rules, Restructured Representative-Level Qualification Examinations and Changes to Continuing Education Requirements
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
