SUGGESTED ROUTING:*
Legal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 12, 1991, the NASD activated enhancements to the Firm Access Query System (FAQS) that will enable subscribers to more efficiently process Forms U-5 and access certain registration information about their
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of August 13, 1990, the following 35 issues joined NASDAQ/NMS, bringing the total number of issues to 2,641:
Symbol
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On March 8, 1994, the Securities and Exchange Commission (SEC) issued an order declaring immediate effectiveness of amendments to add a new Section 45 to Part III of the Code of Arbitration Procedure imposing a surcharge on any member named as a party to an arbitration proceeding. The text of the amendments,
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
Summary
FINRA has adopted new Rule 6439 (Requirements for Member Inter-Dealer Quotation Systems),1 which implements additional requirements for firms that operate systems that regularly disseminate the quotations of identified broker-dealers in OTC Equity Securities (each an “inter-dealer quotation system” or “IDQS”).2 Rule 6439 will become effective on October 1, 2021, except for paragraph (d)(
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of August 29, 1994, the following 56 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,707:
Symbol
Company
Entry Date
SOES Execution Level
DSYT
Dorsey Trailers, Inc.
7/28/94
500
RFMI
R F Monolithics, Inc.
7/28/94
200
CIMA
OMA LABS INC.
7/29/94
1000
CSCC
Cascade
Summary
The NAC has revised FINRA’s Sanction Guidelines to incorporate a new guideline for violations of the Consolidated Audit Trail System (CAT) industry member compliance rules.
The revised Sanction Guidelines are effective immediately and available on FINRA’s website.
Questions concerning this Notice should be directed to:
Alan Lawhead, Vice President and Director – Appellate Group,
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On January 5, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change codifying existing requirements for access to and use of the OTC Bulletin Board® service (OTCBB).1 This codification will provide a ready reference to OTCBB rules and operational requirements in a discrete section of
(a) Notice of Suspension, Cancellation or Bar(1) If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with a temporary or permanent cease and desist order issued under the Rule 9200, 9300 or 9800 Series, FINRA staff, after receiving written authorization from FINRA's Chief Executive Officer or such other senior officer as the Chief
