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INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Registered Representatives
Senior Management
Training
MSRB Rule G-37
Political Contributions
Executive Summary
Since May 1999, NASD Regulation, Inc. (NASD RegulationSM) has considered three requests for exemptive relief under Municipal
Summary
FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Last Voting Date: September 27,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or convertible
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
The NASD is publishing a letter issued by the Securities and Exchange Commission, providing interpretive advice with respect to the application of Rules 15c2-4 and 15c3-l to public and private offerings of direct participation programs. Rule 15c2-4 applies to offerings of securities being made
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on proposed amendments to the Corporate Financing filing requirements which would exempt from those requirements all debt and equity securities registered with the Securities and Exchange Commission ("SEC" or "
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
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(a) In response to a written inquiry, electronic inquiry, or telephonic inquiry via a toll-free telephone listing, FINRA shall release through FINRA BrokerCheck information regarding:
(1) a current or former FINRA member or a current or former member of a registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes ("CRD