Displaying 3951 - 3960 of 4654 Results
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved amendments to Article III, Section 19(f) of the NASD Rules of Fair Practice governing sharing in customer accounts by members and by persons associated with members
TO: All NASD Members and Other Interested Persons
On April 30, 1984, the Securities and Exchange Commission ("SEC" or "Commission") published for comment changes to the National Market System (NMS) designation criteria which by the National Association of Securities Dealers, Inc. ("Association" or "NASD") has proposed. If adopted, the effect of the changes
Comment Period Expires: December 1, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registered Representatives
Systems
Executive Summary
At its September 1997 meeting, the NASD Regulation, Inc., Board of Directors (Board) approved a proposed amendment to the
Litigation economics is not something they teach in most schools, but when it comes to unique or first of their kind enforcement matters, it's an important skill to have. On this episode, we hear how FINRA's Enforcement team has been partnering up with the Office of Regulatory Economics and Market Analysis to ensure better case outcomes.
April 10, 2003 2:00 P.M.
Kyra:
Hello. Good afternoon and welcome to the Regulatory and Compliance Workshop. My name is Kyra Armstrong. I'm an attorney in Member Regulation, as are Emily Gordy and Vicky Berberi-Doumar. From NASD, we also have Patricia Albrecht from the Office of General Counsel and George Walz from our Department of Member Regulation's Examination Program Group. Today
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Summary
FINRA seeks comment on proposed amendments to Rule 4210 (Margin Requirements) that would clarify and incorporate into the rule current interpretations regarding when issued and other extended settlement transactions, and provide relief to facilitate the application of the rule to these transactions.
The proposed rule text marked to show changes from the current rule text is available
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Subpoenas
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to the subpoena rule as set forth in Rule 10322 of
the NASD Code of Arbitration Procedure