SUGGESTED ROUTING:*
Legal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC has approved changes to the Uniform Application for Securities Industry Registration or Transfer (Form U-4) and the Uniform Termination Notice for Securities Industry Registration (Form U-5). The changes to Form U-4 include
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the Interpretation of the Board of Governors — Forwarding of Proxy and Other Materials, Article III, Section 1 of the NASD Rules of Fair Practice
FINRA Revises the Series 27 and Series 28 Examination Programs
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.
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).
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).
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).
ROUTE TO
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Other
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).
Firm culture has a profound influence on how a broker-dealer conducts its business, including how it manages conflicts of interest.
