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Election Notice - 8/1/14
FINRA Announces Nomination Process to Fill Upcoming Vacancies on the National Adjudicatory Council
Monthly Disciplinary Actions March 1996
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, March 18, 1996. The information relating to matters contained in this section is current as of March 5, 1996. Information received subsequent to March 5, 1996 is not reflected in this section. Firm Expelled, Individuals Sanctioned Domestic Capital, Inc. (Buffalo, New York), Michael A. Wier (Registered
Notice to Members 04-10
INFORMATIONALMembership Application and Continuation RulesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceMembershipSenior ManagementNew Membership ApplicationsContinuing Membership ApplicationsRule 1011Rule 1014Rule 1017Pending Arbitration Awards and ClaimsExecutive SummaryOn December 22, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rules 1011, 1014, and 1017 to
From NCFC to Member Supervision Head: Reintroducing Greg Ruppert
Greg Ruppert joined FINRA in 2020 to form and lead the National Cause and Financial Crimes Detection Programs. Now, he’s been tapped to lead Member Supervision, the team responsible for the surveillance and examination of FINRA member firms and for detecting and deterring activities that can cause investor harm. On this episode, we talk to Greg about how he views this transition in leadership and his goals and areas of focus in his new role.
Regulatory Notice 07-51
Minor Rule Violation Plan Regulatory Notice Notice TypeRule Amendment Referenced Rules & NoticesNASD IM-9216 NASD Rule 9216 NYSE Rule 476A SEC Rule 19d-1(c)(2) Suggested Routing Compliance Legal Operations Registered Representatives Senior Management Key Topic(s)Minor Rule Violation Plan (MRVP) Executive Summary Effective September 24, 2007, the list of violations eligible for
Notice to Members 99-96
INFORMATIONAL Employment Arbitration Rules Effective Date: January 18, 2000 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Registered Representatives Arbitration Discrimination Employment The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Notice to Members 06-38
GUIDANCE Life Settlements SUGGESTED ROUTING KEY TOPICS Internal Audit Legal and Compliance Retail Senior Management Variable Life Settlements Variable Insurance Policies Suitability Best ExecutionRule 3010 Executive Summary Sales of existing life insurance policies to third parties—often referred to as "life settlements"—have grown exponentially in recent years, and that trend
Notice to Members 99-32
Comment Period Expires May 31, 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 Registered Representatives Registration Research Syndicate
Notice to Members 99-03
Effective March 15, 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 Registered Representatives Registration Research Syndicate Systems
Regulatory Notice 11-17
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings