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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).
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises
NASD would like to thank the committee for the invitation to submit this written statement for the record in support of H.R. 2179, the Securities Fraud Deterrence and Investor Restitution Act.
ACTION REQUESTED
Corporate Financing
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Systems
Corporate Financing
Electronic Form Filing
Executive Summary
On April 9, 2002, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD Conduct Rule 2710 (the Corporate Financing Rule or Rule) that
Notice of Annual Meeting of FINRA Firms and Proxy
INFORMATIONAL
SEC Interpretive Guidance
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Trading & Market Making
Blank Check Companies
Freely Tradeable Securities
Executive Summary
A unit of the NASD Regulation, Inc. (NASD RegulationSM) Market Regulation Department recently asked the Securities and
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).
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
NASD Regulation, Inc. (NASD
SEC Approves Amendments Relating to Web-based Delivery of the Regulatory Element of Continuing Education
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).
FINRA Requests Comment on Proposal to Require Alternative Trading Systems to Submit Quotation Information Relating to Fixed Income Securities to FINRA for Regulatory Purposes