Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
FINRA takes disciplinary actions against firms and individuals for violations of NASD rules; federal securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board.
Proposed Rule Change Relating to Alternative Trading System Volume and Trading Information
FINRA Provides Guidance on Customer Communications Related to Departing Registered Representatives
Date
Feature
Description
December 15, 2022
Requests and Filings
Filters:
Re-design in the layout
Moved all the Frequently used filters to the top such as Date filter, Overdue and Status filter
Mapped the Type filters under their associated “parent” Category filters
Enabled the multi-select capability under each
NASD® 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 the Municipal Securities Rulemaking Board (MSRB).
SummaryFINRA has amended its Codes of Arbitration Procedure (Codes) to make: (1) changes to the arbitrator list selection process in response to recommendations in the report of independent counsel Lowenstein Sandler LLP (Report) and (2) clarifying and technical changes to requirements in the Codes for holding prehearing conferences and hearing sessions, initiating and responding to claims,
Your plans for the future shouldn't just be about what happens to your property or financial affairs. The longer you live in retirement, the greater the likelihood that you will need to use health insurance or arrange for long-term care.
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Senior Management
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Internal Audit
Legal & Compliance
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Executive Summary
The Financial Services Authority (FSA) in the United Kingdom (U.K.) has detected an increase in the frequency with which National Association of Securities Dealers, Inc. (NASD®) member firms have been soliciting U.K. citizens. In response to this activity, the
OTCE Equities Notifications
