Displaying 171 - 180 of 4652 Results
New Customer Support Hotline Number
Those member firms that are enjoying the benefits of the National Association of Securities Dealers, Inc. (NASD® Member Compliance Support System, Training Analysis and Planning Tool, Version 2.0 (MCSS), will soon benefit from enhanced customer service.
Please note that, as of November 3, 1997, technical questions regarding the MCSS application will be
SEC Extends Arbitration Rules
On September 5, 1997, the Securities and Exchange Commission (SEC) approved a five-year extension of the rules governing large and complex cases in National Association of Securities Dealers, Inc. (NASD®) arbitration—Rule 10334 of the NASD Code of Arbitration Procedure (Code)—to August 1, 2002. In addition to extending the rules for five years, the rule was amended
Disciplinary Action Corrections
The following corrections pertain to the August 1997 Notices to Members Disciplinary Actions section.
Page 428—Charles William Duquette (Registered Representative, Beaverton, Oregon) was suspended from January 6, 1996 to July 6, 1997. Lewis H. Aytes (Registered Representative, Medford, Oregon) was suspended from February 15, 1996 to August 15, 1997. The August
Broker-dealers that recommend or sell private placements have additional requirements under FINRA and SEC rules. These requirements include:
Filing certain offering documents
Ensuring the suitability of any investments they recommend
Filing Requirements
Two FINRA rules require firms to file certain offering documents and information about the issuer, the offering terms, and the firms selling
NASD Creates Two New Exams—Equity Trading And Government Securities
The NASD® Board of Governors has approved the creation of two new qualification exams for securities industry personnel. The new exams, one for Equity Securities Traders and the other for Government Securities Representatives, join an existing battery of tests that NASD Regulation, Inc. (NASD RegulationSM) administers to qualify
Clarification Of Notice To Members 96-60
NASD Regulation Inc. (NASD RegulationSM) is issuing this FYI to clar the staff's regulatory intent and purpose in issuing NASD Notice to Members 96-60 (Notice). This FYI describes the substance of advice that the staff has provided in response to individual written inquiries pertaining to the Notice. That Notice was published to clarify member's
SEC Extends Time Period For Commenting On Proposed Changes To Rules 17a-3 And 17a-4 On January 17, 1997, the Securities and Exchange Commission (SEC) announced that it is extending, until March 31, 1997, the comment period for proposed changes to Rules 17a-3 and 17a-4. The proposed amendments clarify, modify, and expand broker/dealer recordkeeping requirements for purchase and sale memoranda,
The Cybersecurity and Technology Management topic of the 2024 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations and related considerations, (2) findings and effective practices, and (3) additional resources.
[Please note: There is currently no text to accompany this notice]
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC