Displaying 8361 - 8370 of 9109 Results
Regulatory Notice 08-43
SEC Approves Expanding Disseminated Real-Time TRACE Data
Monthly Disciplinary Actions January 2015
FINRA® 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 theMunicipal Securities Rulemaking Board (MSRB).
Notice to Members 06-33
ACTION REQUESTED Intermarket Surveillance Group1 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Operations Senior Management Blue Sheets Executive Summary This Notice to Members presents responses to questions from firms concerning Electronic Blue Sheet (EBS) submissions. This information should assist members who are conducting a validation of all
FINRA's National Adjudicatory Council Affirms $5 Million Fine Against American Funds Distributors for Violating FINRA's Anti-Reciprocal Rule
Washington, DC - A $5 million fine imposed against American Fund Distributors (AFD) for directed brokerage in 2006 will stand, according to a ruling issued today by the National Adjudicatory Council (NAC), the appeals body of the Financial Industry Regulatory Authority (FINRA).
Notice to Members 00-22
INFORMATIONAL Single Arbitrator Pilot Program Effective Date: May 15, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Senior Management Arbitration Direct Communication with Single Arbitrator Neutral List Selection System Reduced Hearing Session Fees Single Arbitration Pilot Executive Summary On February 15, 2000,1 the Securities and Exchange
Notice to Members FYI March 2002
Regulation Form Filing: New Firm Contacts Screen
Monthly Disciplinary Actions January 2002
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).
Election Notice – 10/1/15
Nomination of a Small Firm NAC Member Candidate
Interpretive Letter to Therese Squillacote, ING Financial Advisers, LLC
<p><span class="tableEntry">NASD Rule 2210 - Communications with the Public</span></p>The posting to a Web site of performance information as required by California state law does not constitute an advertisement under NASD Rule 2210.
Notice to Members 04-84
Executive SummaryOn October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the Trading Activity Fee (TAF) to reduce the TAF rate for covered equity securities, reduce the maximum per trade charge on covered equity securities, and assess the TAF on corporate debt securities that, under the Trade Reporting and Compliance Engine (TRACE)