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Industry GovernorChief Operations/Compliance Officer, Herold & Lantern Investments, Inc.Governor Since 2020Committees: Nominating & Governance Committee, Regulatory Oversight CommitteeProfessional ExperienceChief Operations/Compliance Officer, Herold & Lantern Investments (1993 – present)FINRA Small Firm Advisory Committee (ex-officio, non-voting member)Member (2015 – 2020
December 12, 2023Kayte Toczylowski, Vice President of Member Relations and Education, hosts senior FINRA leaders who discuss trending topics, new rules and regulatory guidance and best practices.Speakers:Kayte Toczylowski, Vice President, Member Relations and Education Stephanie Dumont, Executive Vice President, Market Regulation and Transparency ServicesBill St. Louis, Executive Vice President,
SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved changes to Form BD, the Uniform Application for Broker/Dealer Registration. The amendments, developed in consultation with the NASD, North American Securities Administrators
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS, PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JULY 1, 1988.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III, Section 21 of the NASD Rules of Fair Practice. The amendment would require the marking of customer order tickets to reflect the dealers contacted by members and the quotations received to determine
GUIDANCE
Alignment of NASD Rules with Regulation NMS
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
ADF Trading Centers
Alternative Display Facility (ADF)
Regulation NMS
Trade Reporting
Executive Summary
On September 28, 2006, the Securities and Exchange Commission
(Commission or SEC) approved
Chairman Sarbanes, Senator Gramm, Members of the Committee, thank you for this opportunity to testify on the vital, troubling and timely issues of investor protection and accounting regulation revealed by the collapse of Enron.
Thank you, Steve [Freedman] for that introduction. And thank you to Fordham's College of Business Administration for organizing this conference and inviting me to speak. I'd like to acknowledge a good friend, John Tognino, who I know is a highly valued member of the Fordham community.
Washington, DC - FINRA announced today that it has settled cases against five firms for mutual fund sales and supervisory violations - including improper sales of Class B and Class C mutual fund shares and failure to have supervisory systems designed to provide all eligible investors with the opportunity to purchase Class A mutual fund shares at net asset value (NAV) through NAV transfer programs.
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of January 22, 2002, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
AEN.GF
AMC Entertainment Inc.
9.875
02/01/12
BCC.GH
Boise
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of December 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ALME.GB
Alaris Medical Systems Inc.
11.625
12/01/06
AWAS.GG