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NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
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IM-2420-2, the "Continuing Commissions Policy," does not apply to the receipt by a terminated broker/dealer of commissions generated by its former registered persons after they have transferred to a new firm. Rule 2420 would further apply to prohibit the receipt of the commissions by the non-member broker/dealer.
IM-2420-2, the "Continuing Commissions Policy," does not apply to the receipt by a terminated broker/dealer of commissions generated by its former registered persons after they have transferred to a new firm. Rule 2420 would further apply to prohibit the receipt of the commissions by the non-member broker/dealer.
Rulemaking topics discussed include:
agency pass-through mortgage-backed securities and securities backed by Small Business Administration transactions,
deferred compensation arrangements and filing exemption for ETF offerings,
margin requirements for credit default swaps, and
spinning.
Comment Period Expires January 31, 1998
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
NASD Regulation, Inc., is soliciting member comment on a proposal to discontinue after January 1, 1999, complimentary hard copy distribution of NASD Notices to Members and NASD Regulatory & Compliance Alert, which are currently available for free on the NASD
WASHINGTON - On October 14, 2010, the FINRA Investor Education Foundation released the Military Survey - one of three linked surveys analyzing the financial capability of American adults.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsOptions
Executive Summary
New uniform provisions regarding the exercise cut-off rules for expiring equity options will become effective commencing with the February 1995 expiration at each of the five registered national options exchanges and the National Association of Securities Dealers, Inc, (the SROs).1 This circular
WASHINGTON - The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Wells Investment Securities, Inc. $300,000 for using misleading marketing materials in the sale of Wells Timberland REIT, Inc., a non-traded Real Estate Investment Trust (REIT).
Before you accept that first post-retirement paycheck, make sure you understand exactly how working after retirement may impact alter your Social Security, pension benefits and other retirement income.