SUGGESTED ROUTING:*
Corporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD has received a "No-Action Letter" (letter) from the Division of Corporation Finance of the Securities and Exchange Commission. It provides that a broker/dealer may rely on the provisions of SEC Rule 14a-2(b)(2) to
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
This panel focuses on recent developments in the digital assets space. Join FINRA panelists and industry experts as they explain how these products and related initiatives are evolving and impacting the securities industry.
After your firm files SEC Form Funding Portal, you will need access to FINRA systems to file FINRA forms such as the Form FP-NMA as well as access to the Funding Portal Registration Depository (FPRD) and other related systems.For detailed information, refer to the following pages:FINRA Entitlement Reference GuideFINRA Entitlement Program Frequently Asked QuestionsFINRA Entitlement ProgramThe
GUIDANCE
Code of Arbitration Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Training
Arbitration
Code of Arbitration Procedure
Dispute Resolution
Mediation
Executive Summary
The Securities and Exchange Commission (SEC) has approved the
NASD Codes of Arbitration Procedure for Customer and Industry
Disputes (hereinafter referred to
Board Approves Rule Proposals and Previews Annual Financial Report
WASHINGTON – FINRA’s Board of Governors held its second meeting of 2018 on May 9-10 in New York, where it approved two new rule proposals and previewed a draft of the organization’s Annual Financial Report, which FINRA issues each year to provide transparency into its finances. The 2017 report will be published in June.
The
INFORMATIONAL
Imposition Of Censures
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary ActionsNASD Sanction Guidelines
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
In July 1999, the
Comment Period Expires September 13, 1999
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Variable Contracts
Executive Summary
NASD
REQUEST FOR COMMENT
Gifts and Business Entertainment
Comment Period Expires February 23, 2006
The comment period has been extended to March 3, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Institutional
Legal and Compliance
Retail
Senior Management
Training
Business Entertainment
Commercial Bribery
Gifts and GratuitiesRule 3060
Executive Summary
NASD is proposing interpretive
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $725,000 for failing to disclose certain conflicts of interest in its research reports and research analysts' public appearances.
