SEC Approves Amendments to Require Arbitrators to Provide an Explained Decision at Parties' Joint Request
FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Limit and Market Order Protection
SEC Approves Alternative Means for Calculating the Minimum Price-Improvement Obligations Under Certain Circumstances
SEC Approves Amendments Raising the Threshold for Single Arbitrator Cases to $100,000
FINRA Announces Two New Trade Reporting Modifiers Related to Regulation NMS
Nominees for the District Committees and District Nominating Committees
Reporting Requirements for Settlements of Customer Disputes Involving Auction Rate Securities
Executive Summary
On August 29, 1996, the Securities and Exchange Commission (SEC) adopted significant market structure rules under the Securities Exchange Act of 1934 (Act) involving the handling and execution of customer limit orders. This Notice to Members is being issued to alert members to these important changes by providing a general description of the new rules and a complete copy of
Comment Period Expires: April 30, 1997
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Senior Management
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Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD®Rule 3121 that would govern a member's use and release of customer confidential
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury's (Treasury) amendments to the Bank Secrecy Act (BSA), which facilitate tracing funds through the funds transmittal process, became effective May 28, 1996. For transmittals of funds of $3,000 or more, broker/dealers are required to obtain and
