Trade Reporting Transactions in OTC Equity Securities and Restricted Equity Securities
Private Placements and Public Offerings Subject to a Contingency
The Suitability for Retail Customers section of the 2018 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Proposed Consolidated FINRA Rules Governing Financial Responsibility; Comment Period Expires: June 13, 2008
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, October 21, 1996. The information relating to matters contained in this Notice is current as of the end of September. Information received subsequent to the end of September is not reflected in this edition.
Firms Expelled, Individuals Sanctioned
Beacon Securities, Inc. (New York, New York), Gary L.
Guidance on Special Purpose Acquisition Companies
GUIDANCEExemptions to Reporting Requirements of Rule 3150Effective Date: February 20, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementClearing FirmsExemptions to the Reporting Requirements of Rule 3150IM-3150National Examination Program (NEP) Surveillance (formerly referred to as INSITE)Rule 3150Executive SummaryThe Securities and Exchange
INFORMATIONAL
Investment Companies And Variable Contracts
Effective Date: April 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Training
Variable Contracts
Investment Companies
SEC Approves Consolidated FINRA Rules 2040 (Payments to Unregistered Persons) and 0190 (Effective Date of Revocation, Cancellation, Expulsion, Suspension or Resignation), and Amendments to FINRA Rule 8311 (Effect of a Suspension, Revocation, Cancellation, or Bar)
Board Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
The Annual Meeting of Members of NASD will be held on December 5, 2002, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to
