Effective Date: February 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceSyndicate
Executive Summary
On November 10, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Subsection (b)(7)(C) to Article III, Section 44 of the Rules of Fair Practice clarifying that the exemptions from the filing requirements of the NASD
(a) DefinitionsFor purposes of this Rule and any interpretation thereof:(1) "Communications" consist of correspondence, retail communications and institutional communications.(2) "Correspondence" means any written (including electronic) communication that is distributed or made available to 25 or fewer retail investors within any 30 calendar-day period.(3) "Institutional
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
Exemptive relief is granted based on the following considerations: 1) the contribution was inadvertent, de minimis, and was returned; and (2) the contribution was made to a candidate for public office who never had the opportunity to influence the award of municipal securities business (Candidate was not an elected official, was never elected to the office for which he was a candidate, and he died during the election campaign).
Thank you, Kayte [Toczylowski, FINRA’s head of Member Relations and Education], and good morning, everyone. It is so wonderful to see you. I am delighted to join Kayte in welcoming you to the 2023 FINRA Annual Conference.
COVID-19: A Message From FINRAStay current on rules and regulations in settings designed to promote timely learning and sharing with peers, regulators and other financial services professionals. FINRA Conferences and educational events are ideal for compliance and legal professionals, supervisors, branch and main office staff, IT and operations professionals, and others in the financial services
Are you looking beyond a traditional savings account to begin to invest in stocks, bonds or funds? Perhaps you’re looking for someone to help develop a road map for your financial future. These and other situations might make you consider contacting an investment professional.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JULY 12, 1985
Enclosed is a proposed new rule under Article III of the NASD Rules of Fair Practice. Proposed Section 39 was approved by the NASD'S Board of Governors and now requires the membership's approval. If approved, it must then be filed with and approved by the Securities and
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 "
Washington, DC – Female investors lag behind their male counterparts when it comes to investment knowledge and confidence, according to new research conducted by the FINRA Investor Education Foundation (FINRA Foundation) and the George Washington University School of Business' Global Financial Literacy Excellence Center (GFLEC).
Male and female investors answered a 10-question quiz
