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FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
SUGGESTED ROUTING*
Legal & ComplianceOperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
The Securities and Exchange Commission recently approved revisions to several of the NASD's qualification examinations. These changes become effective January 1, 1990. The revised examinations include the following:
Investment Company
FINRA is issuing this Notice to address certain requirements that apply to the per-share customer account statement values and dividend distributions of REITs and DPPs (collectively, "real estate investment programs") that are sold through broker-dealers, invest in real estate and do not trade on a national securities exchange.
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests
TO: All NASD Members and Other Interested Persons
FROM: Options Committee of the NASD Board of Governors
The June 19, 1987, expiration of index options and futures contracts, in addition to being a quarterly expiration, will be unique in that it will mark the first time that the settlement prices of the various stock indices will not be uniformly based on the closing price, of the
Regulatory Notice 08-36 - SEC Approves Amendments to Expand the Scope of NASD Rule 2440 and IM-2440-1 to All Securities Transactions
TO: All NASD Members and Other Interested Persons
On January 29, 1986, a new Section 12 to Schedule A of the NASD By-Laws became effective, as announced in SEC Release No. 34-22861, dated February 4, 1986. The rule establishes a $500 fee to be paid in connection with application for registration in the securities industry by individuals subject to a disqualification pursuant to Article II,
SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders