Displaying 8021 - 8030 of 9025 Results
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
In the March 1, 1993, edition of the Federal Register, the Securities and Exchange Commission (SEC) published notice of its intention to adopt Rule 15c6-1 under the Securities Exchange Act of 1934. This new rule would establish three, instead of five, business days as the standard settlement time-frame
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Citigroup Global Markets, Inc. $3.5 million for providing inaccurate mortgage performance information, supervisory failures and other violations in connection with subprime residential mortgage-backed securitizations (RMBS).
Scottsdale, AZ — The Financial Industry Regulatory Authority (FINRA) announced today that registered personnel and other frontline staff now can learn about their compliance obligations when working with senior customers through the latest in FINRA's series of free, instructional webcasts.
The interaction of securities industry professionals and the growing senior population raises
NASD Notice of Meeting and Proxy
FINRA today issued a new Investor Alert called It Pays to Understand Your Brokerage Account Statements and Trade Confirmations to help guide investors through the key elements of their account statements and trade confirmations.
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved amendments to Appendix F under Article III, Section 34 of the NASD Rules of Fair Practice regarding members' compensation
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Merrill Lynch, Pierce, Fenner & Smith $1 million for failing to arbitrate disputes with employees relating to retention bonuses.
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Best execution is a significant investor protection requirement that essentially obligates a broker-dealer to exercise reasonable care to execute a customer's order in a way to obtain the most advantageous terms for the customer. As the circumstances of each order and trading environment vary, so does the determination of what is best execution. Broker-dealers must be cognizant of
SUGGESTED ROUTING
Senior Management
Advertising
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Executive Representatives
Government Securities
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Internal Audit
Legal & Compliance
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Executive Summary
Effective upon publication of this Notice, the National Association of Securities Dealers, Inc. (NASD
SEC Approves the CAT Fee Dispute Resolution Process