Identity theft occurs when someone obtains your personal information and uses it to take your money or to commit fraud or other crimes. It can devastate your credit rating and derail financial security. Here's how you can protect yourself.
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
<p>For purposes of reporting to TRACE only, a member may enter only <i>bona fide</i> commissions in the "commission" field and may charge a commission only in specified transactions.</p>
SummaryFINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).Questions concerning this Notice should be directed to your firm’s Risk Monitoring Analyst.BackgroundThe following is guidance for member firms affected by the recent failures of SVB and Signature.For Members with Deposits at SVB and
<p>All Letters of Caution represent a determination that a violation has occurred, either of an NASD rule or a rule of the Securities and Exchange Commission over which NASD Regulation has jurisdiction to enforce. A Letter of Caution that results from a finding in a disciplinary proceeding initiated under the Rule 9200 Series of the NASD Code of Procedure is a sanction within the meaning of Procedural Rule 8310(a)(6), but a staff-issued Letter of Caution is not a sanction within the meaning of Procedural Rule 8310(a)(6).</p>
Market makers should consider the application of SEC Regulation M on market making activity where an issuer with no public market for its common stock is in the process of filing a registration statement and engages the market maker to file a Form 211 for quotation on the OTC Bulletin Board.<br/>
Certain activities of unregistered persons would not be permissible under <i>Notice to Members 88-50</i>.<br/>
<p>A sales incentive program can combine non-conforming criteria based on sales prior to January 1, 1999 with conforming criteria based on sales subsequent to January 1, 1999 for incentives to be provided prior to June 30, 2000.<br />
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