Washington, DC — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined Fifth Third Securities, Inc., (FTS) of Cincinnati, OH, $1.75 million for a series of violations related to variable annuity sales and exchanges.
SEC Approves Consolidated FINRA Rules 4314 (Securities Loans and Borrowings), 4330 (Customer Protection – Permissible Use of Customers’ Securities) and 4340 (Callable Securities)
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
Summary
FINRA conducts annual elections to fill positions on its Regional Committees, the Small Firm Advisory Committee (SFAC), the National Adjudicatory Council (NAC)1 and the FINRA Board of Governors (FINRA Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2021; and
a summary of how eligible
Comment Period Expires On March 1,
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & Compliance
Executive Summary
At its November 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comments on the National Arbitration Committee's (Committee or NAC) recommendation to establish an NASD Mediation Program to resolve securities
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
SEC Approves Amendments to NASD Rule 11870 and NYSE Rule 412 to Conform with NSCC's ACATS Transfer Cycle Time Frames
Summary
Investment professionals often develop close and trusted relationships with their customers, which in some instances have resulted in the investment professional being named the customer’s beneficiary, executor or trustee, or holding a power of attorney or a similar position for the customer. Being a customer’s beneficiary or holding a position of trust may present significant conflicts
GUIDANCE
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative Renewals for 2007
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KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representative
Registration
Senior Management
IARDSM
Maintenance Fees
Registration
Renewals
Web CRD®
Executive Summary
The 2007
GUIDANCE
Gifts and Gratuities
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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
