<p>Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.<br/></p>
<p>Applicability of NASD Rule 3070 to the operations of a mutual fund variable product distributor broker/dealer with a separately registered transfer agent.<br/></p>
<p>Applicability of the reporting requirement under Rule 3070(a)(8) to a non-securities related automobile insurance settlement exceeding $15,000.</p>
<p>Rule 3060 does not limit ordinary and usual business entertainment provided by a member or its associated persons to the member's clients and their guests.<br/></p>
<p align="left">NASD Rule 3060(a) does not apply to reimbursements by a registered representative of his or her client's expenses when the reimbursement is unrelated to the business of the client's employer.<br />
</p>
<p>Clarification of <i>NASD Notice to Members</i>
<i>94-44</i> to situations in which a dually registered person maintains discretionary trading authority, determines portfolio changes, and prepares trade instructions for customer accounts and charges the accounts an asset-based fee.<br/></p>
The applicability of Section 40 (Rule 3040) to situations in which a financial plan is delivered to a customer without an execution of a securities transaction.
<p>The applicability of NASD Rule 3040 to situations in which associated persons are proposing to receive selling compensation.<br/></p>
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).
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).
