Displaying 2201 - 2210 of 34826 Results
2016 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Proposed Rule Change to Provide that Absent Specification to the Contrary in an Award, When Arbitrators Order Opposing Parties to Pay Each Other Damages, the Monetary Awards Shall Offset.
ACTION REQUESTED
Interfering With Customer Account Transfers - Proposed Interpretive Material
Comment Period Expires: July 6, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD Regulation) is
WASHINGTON — Financial fraudsters often attempt to evoke strong emotions in their victims to convince them to hand over money, and seniors may be particularly vulnerable to the effects of heightened emotions on decision making. With funding and research participation from the AARP Fraud Watch Network and the FINRA Investor Education Foundation, psychologists at Stanford University found that
Largest FINRA Fine Relating to Variable Annuities
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc. (MSI) $20 million and ordered it to pay $5 million to customers for making negligent material misrepresentations and omissions on variable annuity (VA) replacement applications for tens of thousands of customers. Each
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
The
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National Association of Securities
Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
Exemption from Trade Reporting Obligation for Certain Transactions on Alternative Trading Systems
INFORMATIONAL
Margin Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Customer Disclosures
Margin
As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange Commission (SEC) approved National Association