SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved amendments to Appendix F under Article III, Section 34 of the NASD Rules of Fair Practice regarding members' compensation
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Appendix F under Article III,
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 15, 1989, the following 18 issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,798:
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the second and third quarters of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-22
April 8, 1985
NASDAQ
Updated as of March 25, 2024FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes. These retrospective reviews look at the
FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes.
This Report addresses several regulatory key topics for each of the four categories: (1) Firm Operations; (2) Communications and Sales; (3) Market Integrity; and (4) Financial Management. As described further in the “How to Use This Report” section below, the importance and relevance of the considerations, findings and effective practices in each of these areas will vary for each member firm.
In
(a) General Standards
(1) FINRA shall release to the public a copy of, and at FINRA's discretion information with respect to, any disciplinary complaint or disciplinary decision issued by FINRA, as defined in paragraph (e) of this Rule. FINRA shall, in response to a request, release to the requesting party a copy of any identified disciplinary complaint or disciplinary
