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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).
Thank you for that kind introduction, Dean Johnson. I am afraid that the Road Ahead in Regulation may have changed in just the time we have been sitting here.
Thank you for that kind introduction. It's a pleasure to be here with you this morning. Two weeks ago, I had the opportunity to speak at the Museum of Financial History.
W CAMPION CAPITAL LLC3401 N MIAMI AVENUE, SUITE 230, MIAMI, FL 33127W G SECURITIES, LLC1764 LITCHFIELD TURNPIKE, SUITE 250, WOODBRIDGE, CT 06525W&S BROKERAGE SERVICES, INC.400 BROADWAY, CINCINNATI, OH 45202Mailing Address: 400 BROADWAY, MS-03, CINCINNATI, OH 45202W.G. NIELSEN & CO.3200 CHERRY CREEK DRIVE SOUTH, SUITE 470, DENVER, CO 80209WACHTEL & CO., INC.1701 K STREET
I(X) SECURITIES, LLC216 EAST 45TH STREET, SUITE 1302, NEW YORK, NY 10017Mailing Address: 484 E CARMEL DR, #137, CARMEL, IN 46032I-BANKERS DIRECT, LLC1200 N FEDERAL HWY, SUITE 215, BOCA RATON, FL 33432I-BANKERS SECURITIES, INC.1200 N FEDERAL HWY, SUITE 215, BOCA RATON, FL 33432I5EQUITY1700 MONTGOMERY STREET, SUITE 108, SAN FRANCISCO, CA 94111Mailing Address: 1700 MONTGOMERY ST, SUITE 108, SAN
Good afternoon. Thank you David for that introduction and for the invitation to speak with you this afternoon.
I always welcome the opportunity to participate in SIFMA events and appreciate SIFMA’s role as an advocate for vibrant and efficient capital markets. Since joining FINRA a few months ago, I have had good conversations with SIFMA members and staff about a variety of industry issues and I
INFORMATIONALMembership Application and Continuation RulesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceMembershipSenior ManagementNew Membership ApplicationsContinuing Membership ApplicationsRule 1011Rule 1014Rule 1017Pending Arbitration Awards and ClaimsExecutive SummaryOn December 22, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rules 1011, 1014, and 1017 to
SUGGESTED ROUTING
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved an amendment to Article 111, Section 35 of the NASD Rules of Fair Practice that establishes standards regarding the use and
SUGGESTED ROUTING:*
OperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to the NASD's Uniform Practice Code (Code or UPC) to update and amend, where necessary, provisions that were obsolete or that did not conform to current industry