The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
INFORMATIONAL
Bond Mutual Fund Volatility Ratings
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Executive Representatives
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Bond Mutual Fund Volatility Ratings
NASD IM-2210-5
NASD Rule 2210
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 1999-2000 renewal cycle for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent
Background
Input from our stakeholders indicated that they would welcome greater transparency regarding FINRA's budget, especially its financial projections and potential use of fines. FINRA for many years has published an Annual Financial Report that is prepared and audited in accordance with GAAP6 that describes the prior year's finances and operations. In the interest of promoting
(a) Prior written notice shall be given to FINRA whenever any member guarantees, endorses or assumes, directly or indirectly, the obligations or liabilities of another person.
(b) Prior written approval must be obtained from FINRA whenever any member receives flow through capital benefits in accordance with Appendix C of SEA Rule 15c3-1.
• • • Supplementary
(a) A capital acquisition broker or an associated person of a capital acquisition broker must have a reasonable basis to believe that a recommended transaction or investment strategy (as defined in FINRA Rule 2111) involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the broker or associated person to ascertain the
A free market system is exactly what we need. When I say free market I mean the ability of the retail investor to make their own decisions based on their own personal risk/reward assessment. Retail investors are legal adults who are rational and responsible for their own actions. Retail investors are quite capable of using their own judgement to manage their money. Every responsible adult is
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury) the NASD® provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially Designated Nationals and Blocked1 Persons." On
New Series 51 Examination
