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Options Rule
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NASD Rule 2860
Executive Summary
On December 13, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2860.1 The amendments:
(1)
apply
FINRA announced today that it has fined Barclays Capital Inc. $1.3 million for systemic and significant Order Audit Trail System (OATS) reporting violations and related supervisory failures.
FINRA is conducting an inquiry with respect to non-traded Business Development Companies (“BDCs”).
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Broker/Dealer And Agent Renewals
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Web CRD
Executive Summary
The 2001 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration began its
WASHINGTON – The Financial Industry Regulatory Authority (FINRA) announced today that it has filed a complaint against broker Hank Mark Werner of Northport, New York, charging him with securities fraud for churning the account of his customer, a 77-year old blind widow, and for excessive and unsuitable trading concerning her account. The complaint alleges that Werner engaged in a deceptive and
FINRA Adopts Amendments Relating to the Regulation NMS Plan to Address Extraordinary Market Volatility