SEC Approves Amendments to FINRA Dispute Resolution By-Laws
GUIDANCE
Expedited Proceedings
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Expedited Proceedings
Rule 9550 Series
Executive Summary
On March 9, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that creates the Rule 9550 Series to consolidate, clarify, and streamline most
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Monthly Disciplinary Actions April 2018
TO: All NASD Members, Associated Persons and Other Interested Persons
EXECUTIVE SUMMARY
NASD rules and policies consider associated persons of a member to be employees of the member, regardless of their locations or compensation arrangements. The notice addresses regulatory issues that relate to off-site employment of registered persons, including supervisory procedures, private securities
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is clarifying the application of the annual compliance meeting requirements of National Association of Securities Dealers, Inc. (NASD®) Rule 3010. Such meetings may be conducted by electronic means, provided certain
FINRA develops Investor Insights and other content in order to help educate investors about important investing issues. FINRA encourages other companies and organizations to link to this content or to place this content directly on their websites in accordance with outlined guidelines. Requestors must obtain permission in writing from FINRA prior to reprinting FINRA copyrighted materials.
(a) Each carrying or clearing member shall submit to FINRA, or its designated agent, at such times as may be designated, or on an ongoing basis, in such form and within such time period as may be prescribed, such financial and operational information regarding the member or any of its correspondents as FINRA deems essential for the protection of investors and the public interest.
(b) Every
This Interpretive Material sets forth a membership waive-in process for certain NYSE American LLC ("NYSE American") member organizations to become members of FINRA as part of the acquisition by NYSE Euronext of the Amex Membership Corporation. It applies to any NYSE American member organization that (i) holds a valid 86 Trinity Permit as of the date such firm transfers its equities
Background
A critical part of the registration process in the securities industry is the background investigation of applicants for registration and the timely and accurate reporting of information to the Central Registration Depository (CRD) system via the Form U4 (Uniform Application for Securities Industry Registration or Transfer).
When a firm wants to hire a registered representative, it
