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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

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

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

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

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

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

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

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

Regulatory Notice 17-18 - finra.org

There are exceptions. Regulatory Notice 10-06 states that third-party posts on a firm or associated person’s business website may constitute communications with the public by

  Notice, Finra

SEC Final Rule: Modernization of Oil and Gas …

Conforming Version (To Conform to Release Published in the Federal Register) SECURITIES AND EXCHANGE COMMISSION 17 CFR Parts 210, 211, 229, and 249

  Rules, Final, Sec final rule, Modernization of oil and gas, Modernization

SECURITIES AND EXCHANGE COMMISSION 17 CFR …

Compliance Date: Issuers must comply with the final rule for the calendar year beginning January 1, 2013 with the first reports due May 31, 2014.

  Rules, Final, Final rule

Probate Court Rules of Procedure

TABLE OF RULE AND SECTION HEADINGS State of Connecticut Probate Court Rules of Procedure Table of Rule and Section Headings GENERAL PROVISIONS Rule 1 …

  Rules

SEC Custody Rule ‘No-Action’ - …

3 Implications of new Custody Rule guidance: First-party money movements Q5. How does the guidance from SEC impact first-party wires? A. According to the updated guidance provided by the SEC in its FAQs, advisors with standing first-

  Rules

WORLD SPORTS LEAGUE - worldsoftballleague.com

1 | P a g e WORLD SPORTS LEAGUE 911 N.E. Macedonia Church Road Lee, FL 32059 850-971-4400 2018 Official WSL Slow Pitch Rule Book

  Rules

COMPILATION OF PATIENT PROTECTION AND …

"legislative counsel ! 111th congress 2d session print 111–1 compilation of patient protection and affordable care act [as amended through may 1, 2010] including patient protection and affordable care act

  Patients, Protection, Care, Affordable, Patient protection and, Patient protection and affordable care act

Vol. 77 Tuesday, No. 30 February 14, 2012 Part VII

Vol. 77 Tuesday, No. 30 February 14, 2012 Part VII Department of the Treasury Internal Revenue Service 26 Parts 54 and 602 Department of Labor