SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
INFORMATIONAL
District Committees And District Nominating Committees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
District Committee Membership
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
The Neutral Corner Volume 3 - 2016
Mission Statement
Bates Numbering: A Best Practice by Gregory Curley and Glenn S. Gitomer
Attorneys Serving as Arbitrators: A Cautionary Tale About Disclosure by Rushelle Bailey, FINRA Corporate Intern
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Robert W. Cook Named FINRA’s President and
SEC Approves Consolidated FINRA Rule 3210 (Accounts At Other Broker-Dealers and Financial Institutions)
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration Department
Senior Management
CE Inactive Individuals
E-Mail Notifications
Regulatory Element Requirement Windows
Executive Summary
NASD Regulation, Inc. announces a new feature in the Firm Notification section of Web CRDSM. Firms can now request
Proposed Rule Change to Amend FINRA Rule 7730 (Trade Reporting and Compliance Engine (TRACE))
Proposed Rule Change To Amend the FINRA Rule 6700 Series and the TRACE Dissemination Protocols to Provide for the Dissemination of CMO Transactions
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Proposed Rule Change to Clarify the Application of FINRA Rule 2210 (Communications with the Public) to Debt Research Reports
