A. P. SECURITIES, INC.15 WATERVIEW DR, CENTERPORT, NY 11721Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721A.BRIDGE REALVEST SECURITIES CORPORATION244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656A.G. QUINTAL INVESTMENT COMPANY INC.2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316A.G.P. / ALLIANCE GLOBAL PARTNERS88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880A5 SECURITIES LLC375 WEST END AVE UNIT 10D,
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-3 Customer protection - reserves and custody of securities.
Except where otherwise noted, § 240.15c3-3 applies to a broker or dealer registered under section 15(b) of the Act (15 U.S.C. 78o(b)), including a broker or dealer also registered as a security-based swap
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
SUGGESTED ROUTING*
Senior Management
Internal Audit
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum SOES order size for all NASDAQ National Market securities was established as follows:
A 1,000-share maximum order size was
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
INFORMATIONAL
Advertising Modernization
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rule 2210
Executive Summary
On May 9, 2003, the Securities and
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
S. GOLDMAN ADVISORS, LLC599 LEXINGTON AVENUE, 35TH FLOOR, NEW YORK, NY 10022S.G. LONG & COMPANY283 WEST FRONT SUITE 302, SUITE 302, MISSOULA, MT 59802-4328Mailing Address: 283 WEST FRONT SUITE 302, MISSOULA, MT 59802-4328S.L. REED & COMPANY11111 SANTA MONICA BOULEVARD, SUITE 1200, LOS ANGELES, CA 90025-3346S2K FINANCIAL LLC5950 HAZELTINE DRIVE, SUITE 305, ORLANDO, FL 32822SABADELL
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
On April 12, 1984, the SEC issued Release No. 34-20853 requesting public comments on the NASDAQ Options Program. The text of this release, together with a document which provides an overview of the NASDAQ Options Program and a fact sheet highlighting major features of the program, are enclosed with this notice.
The
Comment Period Expires On March 1,
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & Compliance
Executive Summary
At its November 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comments on the National Arbitration Committee's (Committee or NAC) recommendation to establish an NASD Mediation Program to resolve securities
