Displaying 2281 - 2290 of 34936 Results
Quarterly Disciplinary Review - April 2016
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and Securities and Exchange Commission (SEC) decisions in FINRA cases).
Notice to Members 02-01
ACTION REQUESTED Alternative Display Facility SEC Comment Period Expires: January 21, 2002 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Alternative Display Facility Executive Summary On December 14, 2001, the Securities and Exchange Commission (SEC or Commission) published for comment a proposed rule change filed by
How Investors Can Avoid Getting Fooled
WASHINGTON — On the eve of April Fools' Day – which also happens to be the first day of Financial Literacy Month - the Financial Industry Regulatory Authority (FINRA) offers five tips to help investors avoid being tricked out of their money. "April 1st is a day to indulge in silly hoaxes and pranks. But there's nothing funny about a fraudster carrying out a scam – and no one will
SR-FINRA-2016-012
Proposed Rule Change to amend FINRA Rule 6184 (Transactions in Exchange-Traded Managed Fund Shares (NextShares))
Notice to Members 02-02
INFORMATIONAL Continuing Education SUGGESTED ROUTING KEY TOPICS Continuing Education Legal & Compliance Registration Department Senior Management Regulatory Element Series 6 Program Executive Summary This NASD Notice to Members announces that Monday, January 14, 2002, is the effective date that the new Series 6 Program Regulatory Element (S106) for Investment Representatives
Notice to Members 02-03
ACTION REQUIRED Broker/Dealer, Investment Adviser, And Agent Renewals SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Registered Representatives Registration Senior Management Registration Renewals Web CRD Web IARD Executive Summary The 2002 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and
Interpretive Letter to Craig P. Hoffman, Esq., APM, American Retirement Association, Chris DeGrassi, National Tax-deferred Savings Association, and Richard K. Matta, Esq., Groom Law Group
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
Notice to Members 01-52
INFORMATIONAL Registration Requirements Effective Date: September 17, 2001 SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Limited Principal—Financial and Operations Limited Principal—Introducing Broker/Dealer Financial and Operations Executive Summary On May 21, 2001, the Securities and Exchange Commission (SEC)
Notice to Members 02-04
INFORMATIONAL Subordination Agreements SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Operations Senior Management Appendix D to the Net Capital Rule Net Capital Operations Subordination Agreements Subordinated Loans Executive Summary NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of Securities Dealers,
Estate Planning: Power of Attorney
Powers of attorney can be a helpful way to prepare for the future, but many factors will determine the type of power of attorney you need and whether it will hold up when it needs to.