Displaying 7091 - 7100 of 9026 Results
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On December 2, 1996, the Securities and Exchange Commission (SEC) approved new NASD® Conduct Rule 2211 to impose time restrictions and disclosure requirements regarding telephone calls to customers by members and their associated persons. The SEC also approved amendments to NASD Conduct Rule 3110 to require
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsTrading
Executive Summary
The Securities and Exchange Commission (SEC) has adopted amendments to certain rules under the Securities Exchange Act of 1934 (Act) that apply to transactions in low-priced securities traded in the over-the-counter market. Specifically, the SEC amended Rule 15c2-6, which makes it unlawful for a
FINRA Requests Comment on the Effectiveness and Efficiency of its Gifts and Gratuities and Non-Cash Compensation Rules
SEC Approves New Rules Governing Communications With the Public
INFORMATIONALDo-Not-Call RegistryEffective Date: March 31, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrainingCold CallDo-Not-CallTelemarketingTelephone SolicitationEstablished Business RelationshipExecutive SummaryOn January 12, 2004, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD Rule 2212
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced the results of elections to fill seven industry seats on its 23-member Board of Governors. The elections were conducted at FINRA's first-ever Annual Meeting on October 26. The newly elected Governors will serve three-year terms.FINRA is the non-governmental self-regulatory agency formed in July by the
Shawn Spruce’s advocacy work earned him the 2021 Ketchum Prize, the FINRA Foundation’s highest honor. On this episode, we talk to Spruce about his teaching and outreach as a tireless champion of investor education and expanded financial capability in Native communities.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has named Gregory J. Dean, Jr. as its Senior Vice President for the Office of Government Affairs. Mr. Dean will start at FINRA on January 30.
Mr. Dean comes to FINRA from the Royal Bank of Canada where he is currently Senior Director, Regulatory & Government Affairs. Before joining RBC in 2015, he
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).
Various updates.