The Rule 9000 Series is the Code of Procedure and includes proceedings for disciplining a member or person associated with a member; proceedings for regulating the activities of a member experiencing financial or operational difficulties; proceedings for
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Unless otherwise defined in the Code, terms used in the Code and interpretive material, if defined in the FINRA By-Laws, shall have the meaning as defined in the FINRA By-Laws.
Continue reading >>Registration of investment advisers-Necessity of registration 15 U.S. Code § 80b–3 - Registration of investment advisers (a) Necessity of registration
Continue reading >>15 U.S. Code Chapter 2D, Subchapter II - INVESTMENT ADVISERS 15 U.S. Code § 80b–1 - Findings Upon the basis of facts disclosed by the record and report of the Securities and Exchange Commission made pursuant to section 79z–4of this title, and fa
Continue reading >>Since September 25, 2001, investors have had Internet access to information contained in Form ADV electronic filings made by investment advisers onwww.adviserinfo.sec.gov. This new Investment Adviser Public Disclosure (IAPD) website was launched by the SE
Continue reading >>The Commission adopted a rule 206(4)-6 requiring SEC-registered investment advisers that exercise voting authority over client securities to adopt policies and procedures reasonably designed to ensure that the adviser votes proxies in the best interes
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