Supervisory Requirements Under NASD Notice to Members 12-03 Relating to Complex Products

Stockbroker Law - Monday, April 08, 2013
Supervisory Requirements Under NASD Notice to Members 12-03 Relating to Complex Products

The heightened supervision of complex products [see below blog (http://stockbrokerlaw.com/_blog/Tim_O'Connor's_Blog/post/Stop_Quotation_Order_Guid ..

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Stop Quotation Order Guidelines Under FINRA Regulatory Notice 12-50

Stockbroker Law - Tuesday, April 02, 2013
Stop Quotation Order Guidelines Under FINRA Regulatory Notice 12-50

Regulatory Notice 12-50 (http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14888&element_id=10916&highlight=12-5 ..

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Stop and Stop Limit Orders – FINRA Regulatory Notice 12-50

Stockbroker Law - Monday, March 25, 2013
Stop and Stop Limit Orders – FINRA Regulatory Notice 12-50

The Securities and Exchange Commission has approved amendments relating to stop orders in customer accounts, with an effective date of January 21, ..

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Supervisory Red Flags Under FINRA Rule 2111

Stockbroker Law - Tuesday, March 12, 2013
Supervisory Red Flags Under FINRA Rule 2111

Rule 2111 (http://finra.complinet.com/en/display/display.html?rbid=2403&record_id=14960&element_id=9859&highlight=2111#r14960)of the F ..

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Supervisory Red Flags Under Rule 2111

Stockbroker Law - Tuesday, March 12, 2013
Supervisory Red Flags Under Rule 2111

The Notice requires firms to have a supervisory system to focus on the detection, investigation and follow-up of “red flags” indicatin ..

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