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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 the Municipal Securities Rulemaking Board (MSRB).
INFORMATIONAL
Initial Public Offerings (IPOs)
Voluntary Effective Date: December 23, 2003
Mandatory Effective Date: March 23, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Institutional
Legal & Compliance
Operations
Senior Management
Syndicate
Trading & Market Making
Training
Free-Riding and Withholding
IPOs
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
Comment Period Expires: February 16, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Systems
Trading
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on two proposed rules, National Association of Securities Dealers, Inc. (NASD®) Rules 2315 and 2350, which would require members to review current issuer
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 the Municipal Securities Rulemaking Board (MSRB).
INFORMATIONAL
Proxy Reimbursement Rates
Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
IM-2260 Proxy Reimbursement Rates
Executive Summary
NASD has adopted amendments to IM-2260 regarding rates of reimbursement for expenses incurred in forwarding proxy materials, annual reports, information statements, and other materials. The
Board Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on December 5, 2002, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other
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
Effective January 1, 1999, the
TRACE research performed up until this point has been done on an independent basis by academics and researchers who used objective methodology in order to achieve their conclusions. These studies have concentrated on United States-based corporate bond data and what, if any, the impact of TRACE has been on liquidity and transparency.
Notice of FINRA District Committee Elections and Ballots