GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (Continuing
SUGGESTED ROUTING*
Senior Management MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On August 1, 1990, the United States District Court for the District of Colorado appointed a SIPC trustee for:
Blinder, Robinson & Company, Inc.6455 South Yosemite StreetEnglewood, Colorado 80111.
Members may use the "immediate close-out
SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On June 22, 1990, the United States District Court for the Northern District of Ohio appointed a SIPC trustee for:
First Ohio Securities CompanyTwo Park Plaza1111 Chester AvenueCleveland, OH 44114.
Members may use the "immediate close-out"
Upcoming District Committee and District Nominating Committee Elections
SUGGESTED ROUTING*
MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On February 28, 1989, the United States District Court for the Eastern District of New York appointed a Temporary Receiver for:
Investors Center, Inc.110 Ricefield LaneHauppauge, NY 11788
Members may use the "immediate close-out" procedures provided for in
We are grieved by the senseless death of George Floyd and other recent acts of violence against members of the Black and African American communities. We stand together with the FINRA community in our personal commitment to the principle of equal justice under the law and to fight all forms of racism and prejudice.
March 9, 2009
Dear Executive Representative:
We are writing to highlight new and existing areas of particular significance to FINRA's examination program for 2009. We hope you will use the information in this letter to gain valuable insight into some key FINRA examination topics, and to help you assess your firm's compliance and supervisory programs.
Before discussing specific
Upcoming District Committee and District Nominating Committee Elections
FAQ regarding Reporting of Mortgage and Asset Backed Securities (Securitized Products)
Verification of Emailed Instructions to Transmit or Withdraw Assets From Customer Accounts
