Displaying 8501 - 8510 of 9025 Results
GUIDANCE
Gifts and Gratuities
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Executive Representatives
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Gifts
GratuitiesRule 3060
Executive Summary
As a result of a recent review of gift and gratuity practices at member firms, NASD has become aware of several
FINRA Announces Updates of the Interpretations of Financial and Operational Rules
For Your Information
Washington, D.C. — The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Barron Moore, Inc. of Dallas, TX and taken disciplinary action against seven individuals for violations arising from the illegal sale of unregistered penny stocks. Those sanctions range from fines and suspensions to permanent bars from the securities industry.
INFORMATIONAL
Broker-Dealer, Investment Adviser and Individual (AG/RA) Renewals 2005
SUGGESTED ROUTING
KEY TOPICS
Executive RepresentativesLegal & ComplianceOperationsRegistered RepresentativeRegistrationSenior Management
RegistrationRenewalsWeb CRD®IARDSMMaintenance Fees
Executive Summary
The 2005 NASD Broker-Dealer and Investment Adviser Registration
Renewal Program began its
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2012
ACTION REQUIRED
Broker/Dealer, Investment Adviser, and Individual (AG/RA) Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives Legal & Compliance Operations Registered Representative Registration Senior Management
Registration Renewals Web CRD Web IARD Maintenance Fees
Executive Summary
The 2003 NASD Broker/Dealer and Investment Adviser Registration Renewal Program
<p>Application of NASD Rules to Member Firms using Pink Sheets Linkage.</p>
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the current Interpretation