Displaying 16141 - 16150 of 33944 Results
Notice to Members 99-91
INFORMATIONAL Imposition Of Censures SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Disciplinary Actions NASD Sanction Guidelines The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary In July 1999
Notice to Members 99-92
INFORMATIONAL Risk Management Practices SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Risk Management Practices The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive Summary The Securities and Exchange
Notice to Members 99-93
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
Monthly Disciplinary Actions September 2016
Notice to Members 99-94
INFORMATIONAL Trade Date—Settlement Date SUGGESTED ROUTING KEY TOPICS Internal Audit Legal & Compliance Municipal/Government Securities Operations Trading & Market Making Holiday Trade Date— Settlement Date Schedule The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the
Funding Portal Statutory Disqualification Process
The following is an overview of the rules and procedures applicable to funding portal members seeking to hire or retain a person who is or becomes subject to disqualification, and for funding portal members that themselves are or become subject to disqualification. General Information on FINRA’s Eligibility Requirements Under the FINRA By-Laws, no person shall be admitted to or continued in
When a Brokerage Account Holder Dies—What Comes Next?
When it comes to the death of a brokerage account holder, many firms have trained staff and resources to help the living manage estate matters. Once a firm has been notified of the death of an account holder, here are some things you can expect.
Notice to Members 99-95
INFORMATIONAL NASD By-Laws Amendments Effective Date: December 1, 1999 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Associated Person Definition The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure. Executive
Notice to Members 03-11
Changes Effective: Immediately SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management NASD Rule 11890 Executive Summary On January 22, 2003, the Securities and Exchange Commission (SEC) approved changes to NASD Rule 11890 regarding the handling of clearly erroneous transactions. The changes, which take effect immediately, are intended
Notice to Members 03-12
INFORMATIONAL Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate FinanceLegal and ComplianceOperationsSenior ManagementTechnologyTrading and Market MakingTraining Debt SecuritiesDisseminationOperationsRule 6200 SeriesTransaction Reporting Executive Summary On January 31, 2002, the Securities and Exchange Commission (SEC or Commission) approved