Late Disclosure Fee Related to Reporting of Judgment/Lien Events
NASD Rule 2830 - Investment Company Securities</p>Offices of sub-adviser holding training and education meeting is permissible location under Rule 2830(l).
FINRA Reminds Firms of Their Sales Practice and Due Diligence Obligations When Selling Municipal Securities in the Secondary Market
Upcoming Election to Fill FINRA District Committee Vacancies
Guidance on Blogs and Social Networking Web Sites
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 Announces Nomination Process to Fill Upcoming Small Firm Vacancy on the National Adjudicatory Council
Nomination and Election Process to Fill FINRA District Committee Vacancies
<p>Fair Labor Standards Act class actions are ineligible for arbitration in the NASD Regulation forum.<br />
</p>
