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NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860(b)(23) (Tendering Procedures for Exercise of Options) to: (1) simplify the manner in which a Contrary Exercise Advice (“CEA”) is submitted; (2) extend by one hour the cut-off time by which members must submit CEA notices; (3) add procedures for exercising a standardized
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Dispute Resolution Office Relocation
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
Dispute Resolution
Executive Summary
NASD Dispute Resolution announces the relocation of its New York headquarters office and Northeast Regional Office to:
One Liberty Plaza 27th Floor 165 Broadway New York, New York 10006
Telephone: (212) 858-4400 Facsimile: (212) 858-4429
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration DepositorySM (CRDSM) is kept informed of changes in
FINRA Announces Update of the Interpretations of Financial and Operational Rules
FINRA Provides Guidance on New Rules Governing Communications With the Public
SummaryIn February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
The Neutral Corner Volume 4 - 2017
Mission Statement
Year End Message
Seven Steps to a Successful Telephonic Mediation (Christopher Kauders, FINRA Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Hurricane Maria Update: Guidance for Cases Venued in Puerto Rico
Demographic Survey—Thank You
NYCLA Program: 19th Annual FINRA Listens…
FINRA Reminds Firms of Rule 5131(d)(4)'s Prohibition on Accepting Market Orders for the Purchase of New Issues Prior to the Commencement of Trading on the Secondary Market
INFORMATIONAL
Online Comments
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representative
Senior Management
Notices to Members
Public Access to Comments
Requests for Comment
Executive Summary
NASD today announced that it is now making available on its Web Site comments filed in response to Notices to Members that