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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).
INFORMATIONAL
NAC Nominations
Nomination Deadline: September 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill three upcoming vacancies on the National Adjudicatory Council (NAC). The two-year terms of
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Regarding Required Use of the Dispute Resolution Party Portal
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that Gerri Walsh has been named President of the FINRA Investor Education Foundation and head of FINRA's Investor Education division.
One-year Report Lays out Changes through the Organizational Review
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) today released a comprehensive progress report summarizing the significant operational and regulatory changes FINRA has made in the first year of its ongoing FINRA360 organizational review.
“The first year of FINRA360 is already resulting in significant change
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) has named Timothy C. Scheve, President and Chief Executive Officer of Janney Montgomery Scott LLC, as a new Large Firm Governor on its Board of Governors. Scheve was appointed to complete the term of former Governor John W. Thiel, who left the Board earlier this year.
Scheve became Janney’s President and CEO in August 2007, and has
Reports Assess Rules on Communications With the Public and Gifts, Gratuities and Non-Cash Compensation
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) issued two Retrospective Rule Review Reports assessing, respectively, the effectiveness and efficiency of
Retrospective Rule Review Report: Communications with the Public
and
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of the 48 contiguous
SUGGESTED ROUTING
InstitutionalLegal & ComplianceOperationsSystemsTrading
On August 25, 1994, the NASD issued Special Notice to Members 94-68 (Special Notice) dealing with the NASD's recently approved short-sale rule (Rule). In that Special Notice, the NASD set forth a description of the Rule, provided answers to questions concerning the operation of the Rule, and included the
Notice of SFAB Election
and Ballots