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Syndicated conservation easements (SCETs), which are a common type of charitable conservation contribution, top the 2021 “Dirty Dozen” list of tax scams published by the Internal Revenue Service (IRS) in July.
GUIDANCEFees for Filing Documents Pursuant to Rule 2710 (Corporate Financing RuleUnderwriting Terms and Arrangements)Implementation Date: January 1, 2005SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementCorporate Financing DepartmentCorporate Financing FeesRule 2710 (Corporate FinancingRuleUnderwriting Terms and Arrangements)Schedule A to the NASD
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
GUIDANCEContinuing Education RulesSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceOperationsSenior ManagementContinuing EducationRule 1120Executive SummaryOn February 13, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 1120 to require that each member designate and identify to NASD the individual(s) who will receive Web Central Registration
SEC Approves New Rules Governing Communications With the Public
Exemptive relief is granted based on: representations that at the time of the contributions the individual was not employed by the firm, was not an MFP and was not seeking employment as an MFP; the firm already had a significant business relationship with the City of which the contribution recipients are issuer officials (as defined); the individual has attempted to obtain the return of the contributions; the firm has instituted barriers and controls around certain municipal business communications; and the individual will be prohibited from involvement in municipal securities business with the City for a period of time.
WASHINGTON - FINRA announced today that a FINRA extended hearing panel has expelled Salt Lake City-based broker-dealer Alpine Securities Corp. from FINRA membership, and ordered the firm to pay more than $2.3 million in restitution to customers for converting and misusing customer funds and securities, engaging in unauthorized trading, charging customers unfair prices in securities transactions
INFORMATIONAL
Introducing Web EFT and Fee Schedule for Registration Batch Filing and Data Download via Web EFT
Implementation Date: March 24, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Registered Representatives Registration Senior Management Training
Web EFT
Executive Summary
NASD announces the implementation of Web EFT, a new, secure Web-based electronic
WASHINGTON – On many measures of financial capability, U.S. adults generally fared better in 2021 than in the decade leading up to the pandemic, according to the FINRA Investor Education Foundation’s nationwide, triennial study, published today. However, the research also shows that Americans’ financial wellbeing remains uneven across different demographic groups.
“Our study adds to a growing
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