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Financial regulation / Financial Industry Regulatory Authority / Securities Exchange Act / Financial system / Securities regulation in the United States / Business / U.S. Securities and Exchange Commission / Selling away / United States securities law / Self-regulatory organizations / United States Securities and Exchange Commission


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Document Date: 2015-04-09 12:55:17

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File Size: 13,56 KB

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Company

Financial Industry Regulatory Authority Inc. / /

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Event

Product Issues / Product Recall / Force Majeure / /

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Organization

SECURITIES AND EXCHANGE COMMISSION WASHINGTON / D.C. / Service of Notice / office of Hearing officers / U.S. Securities and Exchange Commission / FINRA Board of Governors / Securities and Exchange Commission / Self-Regulatory Organization / NASD / office of the Federal Register / /

Person

Marc Menchel / James Last / /

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Position

Executive Vice President and General Counsel / General Counsel / broker / Vice President / thereunto duly authorized officer / /

Product

The suspension / Initial Amendment / /

Technology

digital signature / /

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