Heyman to succeed Jack Brennan effective July 18
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) Board of Governors has unanimously elected as FINRA Chairman William H. Heyman, Vice Chairman and Chief Investment Officer of The Travelers Companies, Inc., effective July 18. Heyman earlier served as a member of the FINRA Board from January 2004 through September 2016.
Heyman
Washington, DC - The Financial Industry Regulatory Authority (FINRA) today issued What to Expect When You Open a Brokerage Account, a step-by-step guide to help investors opening new investment accounts.
ACTION REQUIRED
Broker-Dealer and Investment Adviser Renewals
Payment Deadline: December 14, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Renewals
Registration
Web CRD®
Executive Summary
The 2006 NASD Broker-
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has filed for a Temporary Cease-and-Desist Order (TCDO) against Herkimer, NY-based Westor Capital Group, Inc. and its President, Chief Compliance Officer and Financial and Operations Principal, Richard Hans Bach
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled NY-based Hudson Valley Capital Management and barred Chief Executive Officer, Mark Gillis, from the securities industry for defrauding its clearing firm and customers by using their funds and securities to cover losses caused by Gillis' manipulative day trading.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On October 14, 1998, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) relating to the selection of arbitrators.1 The arbitrator list selection rules and related amendments to the Code of Arbitration Procedure will be
ACTION REQUIRED
Broker/Dealer and Investment Adviser Renewals
Payment Deadline: December 5, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
Executive Summary
The
ACTION REQUESTED
Taping Rule
Comment Period Expires: July 25, 2001
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KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Public Disclosure ProgramRule 3010
Supervision
Taping Rule
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to Rule 3010(b)(2), commonly referred to as the Taping Rule.
In 1998, NASD
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) issued a new Investor Alert called Nutraceutical Stock Scams-Don't Supplement Your Portfolio With These Companies
