SUGGESTED ROUTING
Senior Management
Government Securities
Legal & Compliance
Registration
Training
Executive Summary
On August 25, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rules regulating qualifications of government securities representatives
Funding and Liquidity Risk Management Practices
<p>Staff interpretation on the use of electronic signatures under NASD Rules 3110(c)(1)(C) and 3010(d).<br /></p>
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9100. APPLICATION AND PURPOSE
9110. Application
9120. Definitions
9130. Service; Filing of Papers
9131. Service of Complaint
9132. Service of Orders, Notices, and Decisions by Adjudicator
9133. Service of Papers Other Than Complaints, Orders, Notices, or Decisions
9134. Methods of, Procedures for Service
9135. Filing of Papers with Adjudicator: Procedure
9136. Filing of
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has expelled Biremis, Corp., formerly known as Swift Trade Securities USA, Inc., and barred its President and Chief Executive Officer, Peter Beck, for supervisory violations
SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts; Compliance Date: No Later Than August 2, 2005
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during 1987. 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. 20006-1506.
Notice Number
Date
Topic
87-1
January 6
Martin Luther King, Jr.'s Day: Trade Date-
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 6957(c) to reflect July 10, 2006 as the effective date for the Order Audit Trail System (OATS) reporting requirements for manual orders on an immediately effective basis.
Summary
FINRA is issuing this Notice to remind members of their obligation to have systems or processes in place to determine whether a transaction in a TRACE-Eligible Security has occurred and is, therefore, reportable, even if it was not included on the TRACE security master list at the time of the transaction. In those circumstances, members should contact Market Operations to add the TRACE-
Proposed Rule Change to Adopt the FINRA Rule 6800 Series (Consolidated Audit Trail Compliance Rule)
