GUIDANCEMunicipal SecuritiesSUGGESTED ROUTINGKEY TOPICSCorporate FinanceExecutive RepresentativesLegal and ComplianceMunicipal SecuritiesOperationsRegistered RepresentativesSenior ManagementTechnologyTrading and Market MakingTrainingMSRB Rules G-12(f) and G-14Municipal SecuritiesOperationsSupervisionTrainingTransaction ReportingExecutive SummaryNASD is issuing this Notice to Members to remind
Women’s financial influence is growing, but they may not be making the most of their increased financial power. Investing can seem intimidating, but it doesn’t need to be. Here are five ways women can take charge of their financial futures.
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
The NASD published the following Notices to Members during 1994. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is also available at $150. Request, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information, should be
The Reg BI and Form CRS topic of the 2025 FINRA Annual Regulatory Oversight Report (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) regulatory obligations, (2) findings and effective practices, and (3) additional resources.
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons
NASD® has taken disciplinary actions against the following firms and
individuals for violations of NASD rules; federal securities laws, rules
and regulations; and the rules of the Municipal Securities Rulemaking
Board (MSRB). The information relating to matters contained in this Notice is current as of the end of November 2006.
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 the Municipal Securities Rulemaking Board (MSRB).
Effective Date: September 4, 1997
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
On September 4, 1997, the Securities and Exchange Commission (SEC) approved an amendment to the definition of "qualified independent underwriter" in Rule 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules
