SEC Approval and Effective Date for New Consolidated FINRA Rules on the Transfer of Customer Accounts, Recommendations to Customers in OTC Equity Securities and Anti-Intimidation/Coordination
Regulatory Element Continuing Education Fees to Increase
INFORMATIONAL
Trading — Extended Hours
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disclosure
Trading, Extended Hours
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds members of their obligation under just and equitable principles of trade and the advertising rule to disclose to customers the material risks of extended
General overview of the rule making process.
These calculators are designed to be informational and educational tools only, and when used alone, do not constitute investment advice.
FINRA Establishes a New Effective Date for Reporting Asset-Backed Securities to TRACE and Related Rule Changes
FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
FINRA publishes this quarterly review to provide firms with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases). These summaries call attention to, and remind registered representatives and firms of, specific conduct that violates FINRA rules and may result in disciplinary action.
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached.
Over the past several years, the Association's Ad Hoc Committee on
SEC Approves Consolidated FINRA Customer Order Protection Rule
