Displaying 7481 - 7490 of 9026 Results
GUIDANCE
Expedited Proceedings
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Expedited ProceedingsRule 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 procedural rules that have an
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 4, 1992, the Securities and Exchange Commission (SEC) approved amendments to Section 4 of the NASD® Uniform
ROUTE TO
Senior ManagementCorporate FinanceLegal & ComplianceOperationsResearchSyndicateTrading
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article III, Section 35(d)(2)(D) of the NASD Rules of Fair Practice relating to testimonials used in members' communications with the public. The rule amendment limits application of the rule on
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 safeguards are
Outreach Follows Recent Efforts to Expand Opportunities for Participation
WASHINGTON – FINRA today issued Special Notice 3/31/22 to encourage securities industry professionals and non-industry stakeholders from diverse backgrounds to become involved in FINRA’s advisory committees.
“We welcome and encourage industry professionals and other stakeholders to join a FINRA advisory committee, provide
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD's
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) today announced the initiation of two new major regulatory sweeps intended to ensure that securities firms are using appropriate sales practices in their dealings with seniors and individuals nearing retirement. FINRA CEO Mary Schapiro announced the sweeps at the Securities and Exchange Commission's (SEC) Seniors Summit
Largest FINRA Fine Relating to Variable Annuities
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined MetLife Securities, Inc. (MSI) $20 million and ordered it to pay $5 million to customers for making negligent material misrepresentations and omissions on variable annuity (VA) replacement applications for tens of thousands of customers. Each
Neutral Corner - February 2008