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
(a) General Standards
(1) FINRA shall release to the public a copy of, and at FINRA's discretion information with respect to, any disciplinary complaint or disciplinary decision issued by FINRA, as defined in paragraph (e) of this Rule. FINRA shall, in response to a request, release to the requesting party a copy of any identified disciplinary complaint or disciplinary decision issued by
NASDR has filed with the SEC a proposed rule change to amend Rules 9120 and 9211 of the NASD to provide for the Office of Disciplinary Affairs of NASD Regulation to authorize all disciplinary actions.
Suggested Routing
Senior Management
Legal & Compliance
Registration
Executive Summary
On October 9, 1996, the Securities and Exchange Commission (SEC) approved an amendment to IM-8310-2 regarding the availability of disciplinary complaints and disciplinary decisions upon request. The amendment permits the NASD to provide copies of NASD® disciplinary complaints and disciplinary
SUGGESTED ROUTING
Senior Management
Advertising
Internal Audit
Legal & Compliance
Mutual Fund
Registration
Supervisory Panel
Trading
Training
Executive Summary
The Joint Regulatory Sales Practice Sweep Report recommended that firms should, among other things: adopt stringent procedures for hiring registered representatives; initiate heightened
