Displaying 8601 - 8610 of 9025 Results
Nomination and Election Process to Fill FINRA District Committee Vacancies
NTM 06-72 supersedes NTM 06-60GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
SIPC (Securities Investor
Protection Corporation)
Executive Summary
GUIDANCE
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Arbitrators
Dispute Resolution
Executive Summary
The Securities and Exchange Commission has approved amendments
to the arbitrator classification criteria set forth in Rule 10308 of
the NASD Code of Arbitration Procedure (Code) to ensure that
individuals with significant ties to the
FINRA Requests Comment on Rules Relating to Financial Exploitation of Seniors and Other Vulnerable Adults
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
</p>
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee for District
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee for District
Upcoming Election to Fill FINRA District Committee Vacancies
FINRA Requests Comments on Proposed Changes to Forms U4 and U5; Comment Period Expired: May 27, 2008
GUIDANCE
Safeguarding Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
New Technology
Privacy
Protection of Customer Information
Executive Summary
NASD members are required to maintain policies and procedures that address the protection of