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Interpretations of Rule 4210 - October 27, 2021

/**/ Publication Date: October 27, 2021Interpretations are marked in blue background beneath the rule text to which they relate. (a) DefinitionsFor purposes of this Rule, the following terms shall have the meanings specified below:(1) The term "basket" shall mean a group of stocks that FINRA or any national securities exchange designates as eligible for execution in a single trade

Using the FINRA Fund Analyzer

Notice To Members 89-20

SUGGESTED ROUTING* Senior Management Legal & Compliance Trading Training *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on extensive amendments to Article III, Sections 1 through 28 of the

Notice To Members 90-10

SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance Syndicate Training *These are suggested departments only. Others may be appropriate for your firm. MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the current Interpretation

Second Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC

This Second Amended and Restated Limited Liability Company Agreement of the FINRA/NYSE Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this “Agreement”), dated as of Sept 13, 2017, that replaces the First Amended and Restated Limited Liability Company Agreement of FINRA/NYSE Trade Reporting Facility LLC, between the NYSE Market, Inc. and

Third Amended and Restated Limited Liability Company Agreement of the FINRA/NASDAQ Trade Reporting Facility LLC

This Third Amended and Restated Limited Liability Company Agreement of The FINRA/NASDAQ Trade Reporting Facility LLC (the "Company") (together with the schedules attached hereto, this "Agreement"), dated as of August 1, 2018 ("Effective Date") that replaces the Second Amended and Restated Limited Liability Company Agreement of The Trade Reporting Facility, LLC,

Notice To Members 83-55

I M P O R T A N T OFFICERS, PARTNERS AND PROPRIETORS TO: All NASD Members And Interested Persons LAST VOTING DATE IS NOVEMBER 21, 1983 Attached are amended By-Laws of the Association which are being submitted to the membership for a vote. The proposal is the product of the Association's Committee on Rule and By-Law Amendments which is reviewing and revising all of the Association's By-

Notice To Members 91-20

SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The

Notice To Members 88-92

SUGGESTED ROUTING* Senior Management Corporate Finance Legal & Compliance *These are suggested departments only. Others may be appropriate for your firm. REQUEST FOR COMMENTS EXECUTIVE SUMMARY The NASD requests membership comment on a proposed Corporate Financing Rule that, if adopted, would replace

Notice To Members 83-65

I M P O R T A N T Officers * Partners * Proprietors TO: All NASD Members and Other Interested Persons Earlier this year, the provisions under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") with respect to withholding on dividends and interest was repealed by Congress. Shortly after the repeal of withholding, the Interest and Dividend Tax Compliance Act of 1983 ("