(a) Appointment
The Chief Hearing Officer shall appoint a Hearing Panel or an Extended Hearing Panel to conduct the disciplinary proceeding and issue a decision.
(b) Hearing Panel
The Hearing Panel shall be composed of a Hearing Officer and two Panelists, except as provided in paragraph (e) and in Rule 9234 (a), (c), (d), or (e). The
To prepare for a life of moves, you need to know what to expect both before and after a move.
(a) Appointment
The Chief Hearing Officer shall appoint a Hearing Panel or an Extended Hearing Panel to conduct the disciplinary proceeding and issue a decision.
(b) Hearing Panel
The Hearing Panel shall be composed of a Hearing Officer and two Panelists, except as provided in paragraph (e) and in Rule 9234 (a), (c), (d), or (e). The
INFORMATIONAL
Proxy Reimbursement Rates
Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
IM-2260 Proxy Reimbursement Rates
Executive Summary
NASD has adopted amendments to IM-2260 regarding rates of reimbursement for expenses incurred in forwarding proxy materials, annual reports, information statements, and other materials. The
<p>The limited supervisory functions that can be properly delegated to registered representatives also may be assigned to persons registered as Foreign Associates under NASD Rule 1100. Foreign Associates, however, may not perform the functions that require a principal registration.</p>
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
With the consolidation of NASD and NYSE Member Regulation, the Financial Industry Regulatory Authority (FINRA) became the largest non-governmental regulator for all securities firms doing business in the United States.
Notice of Annual Meeting of FINRA Firms and Proxy
Proposed Consolidated FINRA Rules Governing Books and Records Requirements; Comment Period Expires: June 13, 2008
