Firms Fined, Individuals Sanctioned Reported for April 2018

Regulatory Notice 17-21 - finra.org

1. For purposes of reporting statistical and summary information regarding written customer complaints, firms may use new Problem Code 69 to report information regarding

  Reporting, Finra

15-07 - finra.org

Regulatory 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).

  Finra

Regulatory Notice 17-30 - finra.org

that 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

  Notice, Finra

Discussion Paper— FINRA Perspectives on …

2 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

  Paper, Discussion paper, Discussion

18-16 - finra.org

Summary FINRA seeks comment on proposed rule amendments that would impose additional restrictions on member firms that employ brokers with a history of

  Proposed, Finra

Firm Fined, Individual Sanctioned Reported for …

4 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

  2017

www.finra.org

Financial Industry Regulatory Authority Oversight Rules & Guidance FINRA Home About FINRA Newsroom Compliance Tools Contact Firm Gateway Sign In

  Finra

FINRA Office of Dispute Resolution Arbitrator’s Guide

This Guide contains important information about FINRA Office of Dispute Resolution services, policies and procedures. For additional information, please go to our

  Important

Report on FINRA Examination Findings

3 Report on FINRA Examination Findings | December 2017 Selected Examination Findings As the nature and sophistication of cybersecurity threats continue to …

  Examination

OMB APPROVAL OMB Number: 3235-0045 …

If 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

  Approval, Omb approval omb

AGREEMENT - USW Local 1010

-2- -3-to the other party, but in any event shall not terminate earlier than September 1, 2008 (the Termination Date). 3. If either party gives such notice, it may include therein notice of its desire to

  Agreement, Notice

The Anatomy of a Private Indemnity Bond Jon David 081808

The Anatomy of a Private Indemnity Bond The instrument tendered to the bank and negotiated to the United States Treasury for settlement is an “Obligation of …

  Private, Anatomy, Bond, Settlement, Indemnity, Anatomy of a private indemnity bond

COMMERCIAL REAL ESTATE PURCHASE CONTRACT

COMMERCIAL REAL ESTATE PURCHASE CONTRACT This is a legally binding contract. It has been prepared by the Utah Association of REALTORS® for the use of its members only, in their

  Commercial, Contract, Real, Estate, Purchase, Commercial real estate purchase contract

Division of Finance Substitute Form W-9 - Alaska

Revised 11/07/2018 State of Alaska Department of Administration RETURN COMPLETED FORM TO: Department of Administration Division of Finance P.O. Box 110204

  Form, Alaska, Substitutes, Substitute form w 9

HOMEOWNERS PROGRAM WEST VIRGINIA - …

4. WOOD STOVE GUIDELINES A. Wood stoves vented into a metal UL approved triple wall or double wall insulated chimney acceptable. B. Wood stoves vented into a fireplace must have the vent pipe extended to the top of the chimney. C. Wood stoves vented into a chimney located on or within an external wall must be built from the ground up & have a tile or metal liner.

For Official Use Only Form 13551 Application to ...

Form 13551 (Rev. 9-2017) Instructions for Form 13551, Application to Participate in the IRS Acceptance Agent Program General Instructions Purpose of this Form. All persons who wish to participate in the TIN (Taxpayer Identification

  Form, Applications, Participate, Form 13551, 13551, Application to participate in the

lottery use only maryland lottery retailer appliCation

in consideration of the foregoing recitals and of the mutual promises hereinafter set forth, and intending to be legally bound, the retailer hereto agrees to the following:

  Maryland, Lottery, Maryland lottery

TRANSFER FORM FOR NON-MARKET TRANSACTIONS

guidelines on completing the transfer form for non-market transactions when transferring shares in a listed or unlisted company 1. stamp duty