INFORMATIONALMarginSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementCustomer DisclosuresMargin Executive SummaryOn September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified
Summary
FINRA360 is an effort through which FINRA is conducting a comprehensive self-evaluation and organizational improvement initiative to ensure that FINRA is operating as the most effective self-regulatory organization (SRO) it can be, working to protect investors and promote market integrity in a manner that supports strong and vibrant capital markets. In March 2017, as part of the FINRA360
November 2, 1999The data in all ROEs in a single FORE must belong to the firm identified by the Order Receiving Firm MP ID in the FORE header. In the majority of cases, the Order Receiving Firm MP ID in the FORE header and in each ROE will be identical. However, when an Order Receiving Firm has multiple MP IDs or has changed its MP ID recently, it is acceptable for the MP ID in the FORE header to
FINRA® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
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April 18, 1994
Dear Member:
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on record-keeping and record retention, respectively, were also approved. The limitations and requirements
FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
B&D CAPITAL PARTNERS, LLC211 EAST BLVD., CHARLOTTE, NC 28203-4719B. C. ZIEGLER AND COMPANYONE NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606B. RILEY SECURITIES, INC.11100 SANTA MONICA BLVD, SUITE 800, LOS ANGELES, CA 90025B. RILEY WEALTH MANAGEMENT40 SOUTH MAIN, SUITE 1800, MEMPHIS, TN 38103B.B. GRAHAM & COMPANY, INC.1700 W. KATELLA AVE., ORANGE, CA 92867BA SECURITIES, LLCFOUR
Executive Summary
The NASD requests member comment on proposed amendments to Rule 2830 (formerly Article III, Section 26 of the NASD® Rules of Fair Practice) of the NASD's Conduct Rules (Investment Company Rule) that would: (1) expand the current definitions of cash compensation and non-cash compensation, (2) revise the current prospectus disclosure provisions to prohibit a member from
