FIDELITY DISTRIBUTORS CORPORATION

Regulator action

United States. Named in 2 sanctions listings.

Sanctions and listings2

Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
02/05/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2005000627701 TO: Department of Enforcement, NASD RE: Fidelity Brokerage Services LLC (CRD No. 7784) ("FBS"); Fidelity Distributors Corporation (CRD No. 6848) ("FDC"); Fidelity Investments Institutional Services Company, Inc. (CRD No. 17507) ("FIISC"); and National Financial Services LLC (CRD No. 13041) ("NFS") (each a "Respondent" and collectively, "Respondents") Pursuant to Rule 9216 of NASD Code of Procedure, Respondents submit this Letter of Acceptance,
Reference 2005000627701data-portal.finra.org finra.org
Official designation
Financial Industry Regulatory AuthorityUS FINRA Enforcement ActionsUnited States
05/08/2007: NASD LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2006003796101 TO: Department of Enforcement NASD RE: Fidelity Investments Institutional Services Company, Inc., Respondent Member Firm BD No. 17507 Fidelity Distributors Corporation, Respondent Member Firm BD No. 6848 Pursuant to Rule 9216 of NASD Code of Procedure, Fidelity Investments Institutional Services Company, Inc. and Fidelity Distributors Corporation ("Respondents") submit this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of
Reference 2006003796101data-portal.finra.org finra.org

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