Displaying 8621 - 8630 of 9025 Results
Upcoming Election to Fill FINRA District Committee Vacancies
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
INFORMATIONAL
Mediation Fees
Effective Date: November 1, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Dispute Resolution
Mediation
Executive Summary
On August 11, 2000, the Securities and Exchange Commission (SEC) approved a change to the Code of Arbitration Procedure (Code) to permit NASD Dispute Resolution, Inc., (NASD Dispute ResolutionSM) to
1. Disciplinary sanctions should be designed to protect the investing public by deterring misconduct and upholding high standards of business conduct.
The purpose of FINRA's disciplinary process is to protect the investing public, support and improve the overall business standards in the securities industry, and decrease the likelihood of recurrence of misconduct by the disciplined
The debate isn’t always easy to understand if you don't have a handle on high-frequency trading terminology. Here are some common terms to get you started.
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.
INFORMATIONAL
Minor Violations Of Rules And Late Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Minor Rule Violation Plan
Schedule A of the NASD By-Laws
Executive Summary
On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that afford the NASD more
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.