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Notice to Members 99-57
Effective Date: July 19, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable Contracts Executive Summary On
FINRA Fines VALIC Financial Advisors, Inc. $1.75 Million for Failure to Prevent Conflicts of Interest in its Compensation Policy and for Other Supervisory Failures Related to Variable Annuity Sales
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Houston-based VALIC Financial Advisors, Inc. (VFA), a total of $1.75 million for failing to identify and reasonably address certain conflicts of interest in the firm’s compensation policy for instances when customers elected to move assets out of their VALIC variable annuities (VA), many of which
Notice to Members 99-59
NASD Will No Longer Impose Censures For Some Violations Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable
SR-FINRA-2016-044
Proposed Rule Change to Extend the Tier Size Pilot of Rule 6433 (Minimum Quotation Size Requirements for OTC Equity Securities)
Notice to Members 99-58
SEC Grants Exemption From Rule 15c2-11 For Securities Being Removed From The OTCBB Pursuant To The NASD Eligibility Rule Suggested Routing   Senior Management   Advertising   Continuing Education   Corporate Finance   Executive Representatives   Government Securities   Institutional   Insurance   Internal Audit   Legal & Compliance   Municipal
New Award Honors Retired FINRA CEO
New Award Honors Retired FINRA CEO
Notice to Members 99-60
Fixed Income Pricing System Additions, Changes, And Deletions As Of May 24, 1999 Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate Systems Trading Training Variable
Notice to Members 99-61
SEC Approves Changes To Rule 4613—Firm Quotation Requirements; Effective Date: August 2, 1999 Suggested Routing Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options Registered Representatives Registration Research Syndicate
FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors for Fixed-Income Securities
FINRA Receives SEC Approval for Enhanced Price Disclosure to Retail Investors for Fixed-Income Securities
Information Notice – 11/22/16
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving