Michael Dillon, Senior Vice President, Enterprise Delivery Services, oversees FINRA’s assurance, engineering, user experience, operations, development tools and application support services.
Before joining FINRA in February 2006, Mr. Dillon served as the Corporate Director of Quality Assurance for a full-service contractor that specialized in large-scale information systems serving
SUGGESTED ROUTING*
OperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
Please note that the October 15, 1988, Series 7 test session in Houston will be held at:
Holiday Inn/Hobby Airport Atrium Hotel & Convention Center9100 Gulf FreewayHouston, Texas 77017
Parking is available on the hotel grounds, and signs to direct
SUGGESTED ROUTING*
OperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
Please note that the September 17, 1988 Series 7 test session in Houston will be held at:
Houston Airport Marriott HotelIntercontinental Airport18700 Kennedy BoulevardHouston, Texas 77032
Candidates are to report to the intercontinental ballroom. The hotel is
Exchange Act Rule 15c2-11 (the “Rule”) governs the publication or submission of quotations by broker-dealers in a quotation medium other than a national securities exchange (i.e., the OTC market). The Rule generally prohibits a broker-dealer from publishing a quotation for any security in a quotation medium unless the broker-dealer has reviewed current and publicly available information about the issuer whose security is the subject of the quotation, and the broker-dealer believes this information is accurate and obtained from a reliable source. Municipal securities and other “exempt securities” (e.g., government securities, Treasury securities) are not subject to the Rule.
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the first quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and should be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-1
January 8, 1985
Martin Luther
Comment Period Expires August 1, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® requests member comment on proposed amendments to Section 2 of Schedule E to the NASD By-Laws to amend the exception from the qualified independent underwriter requirement for offerings of securities with a bona fide
I believe that the complexity of Leveraged ETFs is correctly matched with the current required notice and acknowledgement. Further restrictions on these products are very likely to be unfair to everyday Americans. Retail investors can and should be able to choose the level of risk and volatility that matches their investment knowledge and interest without needing to be already experienced or
In observation of the Thanksgiving holiday, the ORF System will be closed on Thursday, November 23, 2023. Please be advised that the ORF system will close early on Friday, November 24, 2023 at 1 p.m., E.T. See the table below for a schedule of modified hours. Thank you for your attention to this matter. Please contact FINRA Operations at (866) 776-0800 if you have any questions.Market
FINRA Requests Comment on Proposed FINRA Rules Requiring the Identification of Non-Member Broker-Dealers in Order Audit Trail System (OATS) Reports and the Reporting of Additional Order Information by Alternative Trading Systems (ATS)
SUGGESTED ROUTING:*
Legal & ComplianceMutual FundOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
The Securities and Exchange Commission recently approved revisions to the Series 26 examination. The changed examination becomes effective April 1, 1992. The examination has been revised to reflect both regulatory and
