Rules and procedures applicable to members seeking to hire or retain a person who becomes "subject to disqualification," and for members that themselves become subject to disqualification
<p>Use of Modified Corporate Name</p>
FINRA will consider, as a whole, the Applicant’s business plan, information and documents submitted by the Applicant under NASD rule requirements, information provided during the Membership Interview, as well as information obtained by the staff, taking into account the following standards set forth in NASD Rule 1014:
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS), Form Custody, and supplemental FOCUS Report filings that are due in 2022 or the first quarter of 2023.1 FINRA reminds members that all such filings they submit to FINRA must be made
INFORMATIONAL
Callable Common Stock
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Callable Common Stock
IM-2110-6
Executive Summary
On April 24, 2000, NASD Regulation, Inc. (NASD RegulationSM) adopted a new interpretation of high standards of commercial honor and just and equitable
On July 30, 2007, NASD and the New York Stock Exchange (NYSE) consolidated their member regulation operations.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Mutual Fund
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to amend the NASD confirmation rule,
FINRA Announces Implementation Date for Publication of ATS Block-Size Trade Data
All rulings and determinations of the panel must be made by a majority of the arbitrators, unless the parties agree, or the Code or applicable law provides, otherwise.
Amended by SR-FINRA-2008-021 eff. Dec. 15, 2008.
Adopted by SR-NASD-2004-011 eff. April 16, 2007.Selected Notices: 07-07, 08-57.
As a retail investor, I do not wish to see so-called Complex Products subject to additional regulation. Every major trading platform provides lengthy disclosures about these products. All investors using these products already have the tools necessary to understand them and become familiar with the risks if they so choose. Further restricting access to these products by ordinary investors
