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Washington, DC - The Financial Industry Regulatory Authority (FINRA) announced today that Oppenheimer & Co. will pay a fine of $250,000 for supervisory and other failures in connection with improper market timing of mutual fund shares from January through September 2003. The firm will also pay $4.25 million in restitution to more than 60 mutual fund companies.
The festive season is here. Are you looking for the perfect gift for the compliance professional in your life? Look no further. On this episode, we cover the top five FINRA compliance resources, or gifts, for compliance professionals with FINRA's Head of Member Relations and Education.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Executive Summary
NASD Notice to Members 95-16 (March 1995) and NYSE Information Memorandum 95-16 (April 1995) (collectively referred to as "95-16") were published to address issues concerning provisions in customer agreements and predispute arbitration clauses that appear to violate NASD and NYSE rules. The
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsSystemsTrading
Executive Summary
On January 6, 1994, the Securities and Exchange Commission (SEC) approved an amendment adding a new Section 46 to the NASD Rules of Fair Practice that requires members holding open orders to adjust the price and the size, if necessary, of the order by the amount of any dividend, payment, or
<p>NASD IM-2420-2 - Continuing Commissions Policy</p>
2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceTrading
Executive Summary
The cornerstone of the NASD's self-regulatory process is the nationwide committee system of securities industry representatives that conducts peer reviews, takes disciplinary action where appropriate, and imposes remedial sanctions when federal securities laws or NASD® rules and regulation have been
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundOperations*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III. Section 15 of the NASD Rules of Fair Practice that would permit members to use negative-response letters in bulk exchanges of money
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 13, 1991, the Securities and Exchange Commission (SEC) approved amendments to Schedule C of the NASD By-Laws relating to the premembership interview process for applicants for NASD membership. The amendments