SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceOperationsResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On March 10, the Securities and Exchange Commission (SEC) approved amendments to Schedule D regarding trade reporting for regular Nasdaq® equity securities. The trade
ACTION REQUIREDBroker-Dealer and Investment Adviser RenewalsPayment Deadline: December 6, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementRegistered Representative, RegistrationIARDSMMaintenance FeesRegistrationRenewalsWeb CRD®Executive SummaryThe 2005 NASD Broker/Dealer and Investment Adviser Registration Renewal Program will begin on
Composition of Panels
(a) Generating Lists
(1) The list selection algorithm will generate:
(A) A list of 10 arbitrators from the FINRA non-public arbitrator roster;
(B) A list of 15 arbitrators from the FINRA public arbitrator roster; and
(C) A list of 10 public arbitrators from the FINRA chairperson roster.
(2) The list selection algorithm will generate the chairperson list first. Chair-
Firm Sanctioned for Failing to Reasonably Supervise Recommended Securities Transactions and Use of Consolidated Reports
WASHINGTON—FINRA announced today that it has sanctioned Summit Brokerage Services, Inc. (Summit) a total amount exceeding $880,000 for supervisory failures, including approximately $558,000 in restitution to customers whose accounts were excessively traded by a former
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to rescind the Guidelines and to amend Article III, Section 35 of the Association's Rules of Fair Practice to include items that were contained in the Guidelines regarding
ACTION REQUIRED
Broker/Dealer and Investment Adviser Renewals
Payment Deadline: December 5, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
WASHINGTON – The FINRA Investor Education Foundation (FINRA Foundation) today announced the recipients of its higher-education awards created to recognize outstanding analyses by researchers-in-training who seek to advance understanding of consumer well-being and the complex relationships among financial literacy, financial capability and financial well-being.
The three awards were presented in
(a) Filing of Application
(1) How to File
An Applicant for FINRA membership shall file its application with the Department in the manner prescribed by FINRA. An Applicant shall submit an application that includes:
(A) Form NMA;
(B) an original signed and notarized paper Form BD, with applicable schedules;
(C) an original FINRA-approved fingerprint card for each Associated Person who will be
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Filing of Application
(1) How to File
An Applicant for FINRA membership shall file its application in the manner prescribed by FINRA with the Department of Member Regulation ("the Department"). An Applicant shall submit an application
Summary
FINRA has modified its Trade Reporting and Compliance Engine (TRACE) dissemination protocols applicable to agency pass-through mortgage-backed securities and Small Business Administration (SBA)-backed asset-backed securities traded in specified pool transactions.1 The amendment will become effective on May 17, 2021.
Questions regarding this Notice should be directed to:
Alié Diagne,
