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Senior Management Legal & ComplianceOperations OptionsSyndicate Trading Training Other
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently approved new Section 42 of Article III of the NASD Rules of Fair Practice. The section prohibits NASD members from effecting, directly or indirectly, over-the-counter transactions in a security in which a trading
Proposed Rule Change to Adopt FINRA Rule 2122 (Charges for Services Performed) in the Consolidated FINRA Rulebook.
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Institutional
Legal & Compliance
Operations
Options
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REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD is requesting comment on a proposed amendment to the Board of Governors' Interpretation on Prompt Receipt and Delivery of
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Senior Management
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comment on a proposed amendment to Article VIII, Section 5 of the NASD By-Laws that would expedite the filling of vacancies created by departures of District Business Conduct Committee (DBCC) members during their terms and
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Senior Management
Legal & Compliance
Operations
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Other
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comment on a proposed amendment to Schedule C to the NASD By-Laws that would prohibit a person associated with a member from being
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Senior ManagementLegal & ComplianceOperationsRegistrationOther
EXECUTIVE SUMMARY
In response to member inquiries, the NASD is publishing guidelines that apply to the employment of unregistered persons to contact prospective customers. Unregistered persons may extend invitations to firm-sponsored events and inquire whether the prospective customer wishes to discuss
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Senior Management
Legal & Compliance
Registration
Training
EXECUTIVE SUMMARY
The NASD has amended its By-Laws to require that members register with the NASD all branch offices located outside the United States. Article I, Section (c) of the NASD By-Laws defines the term
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Senior ManagementCorporate FinanceLegal & ComplianceOperationsResearchSyndicateTrading
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article III, Section 35(d)(2)(D) of the NASD Rules of Fair Practice relating to testimonials used in members' communications with the public. The rule amendment limits application of the rule
FINRA Reminds Alternative Trading Systems (ATSs) and ATS Subscribers of Their Trade Reporting Obligations in TRACE-Eligible Securities
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Attn: Operations Officer, Cashier, Fail-Control Department
On June 28,1988, the United States District Court for the Northern District of Oklahoma appointed a SIPC trustee for the above firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open OTC
