SEC Approves Consolidated FINRA Rules Governing Financial Responsibility
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Registration and Qualification Requirements
FINRA Requests Comment on Proposed Consolidated FINRA Rule Governing Payments to Unregistered Persons
SEC Approves Changes to the Personnel Assessment and Gross Income Assessment Fees
SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Nominees for the District Committees and District Nominating Committees
Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
GUIDANCE
Discovery-Related Motions
Effective Date: September 26, 2005
SUGGESTED OUTING
KEY TOPICS
Legal & Compliance
Discovery-Related Motions
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure (Code) to provide payment to
INFORMATIONAL
NAC Nominee
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to announce the nominee for the National Adjudicatory Council (NAC) from the North Region. The nominee, nominated for a three-year term beginning in January
