17-11 - finra.org
While the rule does not require notifying the customer’s registered representative of suspected financial exploitation, a customer’s registered representative may be the first
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Regulatory Notice 17-21 - finra.org
www.finra.org1. For purposes of reporting statistical and summary information regarding written customer complaints, firms may use new Problem Code 69 to report information regarding
Discussion Paper— FINRA Perspectives on …
www.finra.org2 FINRA Perspectives on Customer Recovery | February 2018 claims that arise from other forums or that are against other types of financial firms. A holistic consideration of how customer recovery is or is not addressed across related areas of financial
15-07 - finra.org
www.finra.orgRegulatory Notice 3 cuR †… 15-07 FINRA does not intend Supplementary Material .01 to be an exhaustive list by which firms can make a reasonable determination of compliance with Section 15(a).
Regulatory Notice 17-30 - finra.org
www.finra.orgthat for which the person is registered, unless otherwise stated in the rules. In addition, FINRA Rule 1210 addresses the following: (1) requirement to have a minimum number
18-16 - finra.org
www.finra.orgSummary FINRA seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of
Firm Fined, Individual Sanctioned Reported for …
www.finra.org4 Disciplinary and Other FINRA Actions ardrr p5o4 State Street Global Markets, LLC (CRD #285852, Boston, Massachusetts) July 11, 2017 – An AWC was issued in which the firm was censured, fined $1,500,000, and
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www.finra.orgThis Guide contains important information about FINRA Office of Dispute Resolution services, policies and procedures. For additional information, please go to our
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www.finra.org3 Report on FINRA Examination Findings | December 2017 Selected Examination Findings As the nature and sophistication of cybersecurity threats continue to …
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www.finra.orgIf the self-regulatory organization is amending only part of the text of a lengthy proposed rule change, it may, with the Commission's permission, file only those
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www.ntoflorida.com401 Center Pointe Circle, Suite 1549, Altamonte Springs, FL 32701 Phone: 407-834-9288 Fax: 407-834-1473 www.ntoflorida.com email: NTOrequest@ntoflorida.com