TO: All NASD Members
Effective November 13, 1984, all securities designated for inclusion in the NASDAQ National Market System will, as of the date of designation, become immediately marginable. This change is the result of recent amendments adopted by the Federal Reserve Board to its credit regulations governing the extension of credit by broker-dealers (Regulation T), banks (Regulation U), and
REQUEST FOR COMMENTMinor Rule Violation Plan and Inactive Disclosure Review Registration StatusComment Period Expired April 19, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementArticle V, Section 2 of the NASD By-LawsArticle V, Section 3(a) of the NASD By-LawsCentral Registration Depository (CRD® or Web CRD)IM-
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
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Background information about FINRA Contact System (FCS) and related Notices.
Register to attend upcoming webinars which will introduce features of FINRA Gateway, the new FINRA reporting and compliance user experience—designed to streamline compliance functions to help you do your job more efficiently. The new system, powered by FINRA's Digital Experience Transformation (DXT) initiative will roll out over the coming months. Each webinar will cover a wide variety of
INFORMATIONAL
Continuing Education
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Continuing Education
Firm Element
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive
Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
Comment Period Expires September 13, 1999
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Executive Summary
NASD
FINRA President and CEO Robert Cook and Chairman of the Board Jack Brennan review rulemaking and other matters discussed at FINRA's May Board of Governors meeting.
Summary
FINRA has amended its Rule 5110 (Corporate Financing Rule - Underwriting Terms and Arrangements) to make substantive, organizational and terminology changes to the rule.1 The amendments to Rule 5110 modernize, simplify and clarify its provisions while maintaining important protections for market participants, including issuers and investors participating in public offerings. The
