Displaying 8631 - 8640 of 9109 Results
Notice to Members 03-45
INFORMATIONAL Corporate Debt Securities SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training Underwriting Debt Securities Operations Rule 6200 Series Transaction Reporting Executive Summary On August 8, 2003, the Securities and
6898. Consolidated Audit Trail—Fee Dispute Resolution
(a) Definitions (1) For purposes of this Rule, the terms "CAT NMS Plan", "Industry Member", "Operating Committee", and "Participant" are defined as set forth in Rule 6810 (Consolidated Audit Trail—Definitions). (2) "Subcommittee" means a subcommittee designated by the Operating Committee pursuant to the CAT NMS Plan. (3) "CAT
Capital Acquisition Brokers We Regulate
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
Monthly Disciplinary Actions June 2010
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
Notice to Members 00-37
INFORMATIONAL MSRB Rule G-37 Exemptive Relief SUGGESTED ROUTING KEY TOPICS Fixed Income Internal Audit Legal & Compliance Municipal/Government Securities Senior Management MSRB Rule G-37 Exemptions Political Contributions Executive Summary NASD Regulation, Inc. (NASD RegulationSM) is publishing a National Adjudicatory Council (NAC) decision in which the NAC denied an appeal
Notice to Members 99-52
Last Voting Date: July 16, 1999 SUGGESTED ROUTING Senior Management Advertising Continuing Education Corporate Finance Executive Representatives Government Securities Institutional Insurance Internal Audit Legal & Compliance Municipal Mutual Fund Operations Options
Regulatory Notice 08-01
FINRA is issuing this Notice to help firms review, reconcile and respond to their Final Renewal Statements and reports that are currently available on Web CRD and IARD for the 2008 registration renewal process. Questions concerning this Notice should be directed to the FINRA Gateway Call Center at (301) 869-6699.
Regulatory Notice 11-19
SEC Approves Consolidated FINRA Rules Governing Books and Records
Regulatory Notice 09-60
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Notice to Members 06-60
NTM 06-60 is superseded by NTM 06-72GUIDANCE 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