Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
GUIDANCEArbitrator Panel Training FeeEffective Date: September 16, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceArbitratorsArbitrationFeesExecutive SummaryOn June 16, 2004, the Securities and Exchange Commission (SEC) approved an NASD proposal to increase the fee for arbitrator panel training from $100 to $125.1 The fee change is effective on September 16, 2004.Questions/Further
FINRA Small Firm Advisory Board Election
New Account Application Template
FINRA Revises Sanction Guidelines
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
INFORMATIONAL
Dispute Resolution Hearing Location
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Arbitration Dispute Resolution Mediation
Executive Summary
NASD Dispute Resolution has established San Juan, Puerto Rico as an additional hearing location, effective January 1, 2003. This will be the third hearing location established outside of
The Daily Total Summary Data and Detail Data Download files for the OATS Compliance Report Card provide underlying totals and detail of the data contained in the monthly summary OATS Compliance Report Card.
The tables below represent the data within the Daily Totals Summary Report Card and the Detail Data Download files.
Summary Definitions and Data Fields
Term
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Foreign Deferrals
In-Firm Delivery
Regulatory Element
Executive Summary
Effective July 14, 2003, the Regulatory Element Continuing Education Supervisors Program (S201) will be
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market System (Nasdaq/NMS) securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq/NMS
