GUIDANCE
Transfers of Mutual Funds and Variable Annuities
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Broker-Dealer of Record
Customer Account Transfers
Mutual Funds
Negative Response Letters
Rule 2110
Variable Annuities
Executive Summary
In September 2002, NASD issued
Questions to Ask Before You File a Complaint
INFORMATIONAL
Transaction Fees
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD
By-Laws
Transaction Fees
Executive Summary
Pursuant to Section 31 of the Securities Exchange Act of 1934 (Exchange Act),
GUIDANCE
Appeals of Qualification Examination Waiver Requests
Effective Date: September 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
National Adjudicatory Council
Qualifications Examinations
Rule 1070
Rule 9600 Series
Executive Summary
On July 27, 2004
Proposed Consolidated FINRA Rule Addressing Investor Education and Protection; Comment Period Expires: June 13, 2008
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls; Comment Period Expires: June 13, 2008
Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
SEC Approves Rule Change to Amend the Definition of Public Arbitrator in the Arbitration Codes for Customer and Industry Disputes; Effective June 9, 2008
FINRA Issues Guidance to Broker-Dealers on Partial Redemptions of Auction Rate Securities
