Please be aware the following Nasdaq infrastructure changes will affect all TRACE FTP subscribers.
NASDAQ will change the VPN concentrator address and the secure FTP server address effective Friday, May 13, 2005. Your firm will have a two-month parallel period to test and reconfigure your client to the new addresses. In order to make this a seamless transition for your firm, we are providing
The Supervision section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
(a) Applicability
This Rule applies to claims that request expungement of customer dispute information filed by an associated person against a member firm, pursuant to Rule 13805. Except as otherwise provided in this Rule, all provisions of the Code apply to such claims.
(b) Selection of Panel
(1) The list selection algorithm shall randomly select three public arbitrators who are eligible for
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has imposed fines of $450,000 against Lincoln Financial Securities, Inc. (LFS) and $150,000 against an affiliated firm, Lincoln Financial Advisors Corporation (LFA), for failure to adequately protect non-public customer information.
(a) General Telemarketing Requirements
No member or person associated with a member shall initiate any outbound telephone call to:
(1) Time of Day Restriction
Any residence of a person before the hour of 8 a.m. or after 9 p.m. (local time at the called party's location), unless
(A) the member has an established business relationship with the person pursuant to paragraph (m)(12)(A),
(B)
(a) A member shall clear and settle transactions effected on the ADF in ADF-eligible securities that are eligible for net settlement through the facilities of a registered clearing agency that uses a continuous net settlement system. This requirement may be satisfied by direct participation, use of direct clearing services, or by entry into a correspondent clearing arrangement with another member
SUGGESTED ROUTING
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Executive Summary
The new Internet-based Central
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
Proposed Consolidated FINRA Rules Governing Supervision and Supervisory Controls; Comment Period Expires: June 13, 2008
SUGGESTED ROUTING
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As of May 24, 1993, the following 58 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,108:
Symbol
Company
Entry Date
SOES Execution Level
SFSW
State Financial Services Corporation
4/26/93
500
ACTNW
Action Performance Companies, Inc. (4/27/98 Wts)
4/27/93
500
ACTN
Action Performance
