Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
ACTION REQUIRED
Broker/Dealer, Investment Adviser, and Individual (AG/RA) Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management
Registration Renewals Web CRD Web IARD Maintenance Fees
Executive Summary
The 2003 NASD Broker/Dealer and Investment Adviser Registration
<p>Application of NASD Rules to Member Firms using Pink Sheets Linkage.</p>
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests membership comment on a proposed Corporate Financing Rule that, if
The Registered Representative Composition Report is produced on a quarterly basis and displays trends in the profile of registered representatives associated with the firm. The report allows firms to compare their statistics to those of the industry. The data in this report comes from Web CRD®.
This report is generally published approximately 5 weeks after the last business day of the quarter.
There are nine categories of reports currently available on the Report Center:
Corporate Financing
Cross-Market Supervision
Disclosure
Equity
MSRB
Online Learning
Options
Risk Monitoring
TRACE
Unread Reports
The Unread Reports section contains a list of the most recent reports available to you that you have not yet viewed. The list of reports (displays only the most recent version
(a) "Adjudicator"
The term "Adjudicator" means:
(1) a body, board, committee, group, or natural person that presides over a proceeding and renders a decision;
(2) a body, board, committee, group, or natural person that presides over a proceeding and renders a recommended or proposed decision which is acted upon by an Adjudicator described in paragraph (a)(1); or
(3) a
SEC Approves Amendments to the FINRA Rule 9550 Series Governing Expedited Proceedings
INFORMATIONAL
Predispute Arbitration Agreements
Effective Date: June 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration
Code of Arbitration Procedure
Executive Summary
On April 6, 2001, the Securities and Exchange Commission (SEC or Commission) approved an amendment to National Association of
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
Continuing Education Regulatory Element Notifications And Reports
Inactive
