SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicate
Executive Summary
The NASD requests comment on proposed amendments to the Free-Riding and Withholding Interpretation under Article III, Section 1 of the Rules of Fair Practice. These amendments would change a number of the Interpretation's provisions. The complete text of the
Additional Guidance on FINRA’s New Suitability Rule
SUGGESTED ROUTING*
Senior Management Corporate Finance SyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to the NASD's request, the Securities and Exchange Commission (SEC) has adopted Rule 10b-21 to prohibit persons from purchasing securities out of a public offering to cover short sales executed after the
Number
Date
Title
2022-85
May 20, 2022
SEC Charges Wells Fargo Advisors with Anti-Money Laundering Related Violations
SEC Order
2022-83
May 16, 2022
SEC Obtains Emergency Relief to Halt Pre-IPO Stock Fraud Scheme by Unregistered Broker-Dealer
SEC Complaint
2022-1
January 5, 2022
SEC Charges Additional Defendant in Phony
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of
Comment Period Expires October 3, 1994
SUGGESTED ROUTING
Senior Management Corporate Finance Institutional Legal & Compliance Mutual Fund
Executive Summary
The NASD requests member comment on proposed amendments to Article III, Sections 26 and 29 of the Rules of Fair Practice that would revise existing rules applicable to the sale of investment company securities and establish new
Member Assessments
The NASD amended Section 1, Schedule A to the NASD By-Laws to increase the credit against a member's annual gross income assessment from 62 to 67 percent for calendar year 1993. The credit will be reduced to 59 percent for 1994.
Because members have already paid their 1993 assessments with the 62 percent credit in effect, the increase to 67 percent will create a credit
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: JANUARY 5, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article II, Sections 3, 4 and 5 of the NASD By-Laws. The amendments would require controlling persons of a firm liquidated under the Securities Investor Protection Act of 1970 (SIPA) to undergo eligibility proceedings pursuant to the
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
Although it appears at this writing that the provisions under TEFRA with respect to withholding on dividends and interest will be repealed, members should be aware that other provisions of the Act - primarily the expanded reporting requirements - are still effective for transactions occurring
