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FINRA has observed unusual price activity after the IPOs of certain small-cap issuers with operations outside the U.S. Regulators suspect some of these IPOs might have been manipulated in a ramp-and-dump scheme. If you’re solicited to invest in a newly issued small-cap stock, know the warning signs and take precautions.
ACTION REQUESTED
Rule Modernization Project
Comment Period Expires: July 2, 2001
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KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Rule Review
Rule Modernization
Executive Summary
Over the past several years, NASD Regulation, Inc. (NASD Regulation) has conducted a comprehensive review of many of the National Association of Securities
INFORMATIONAL
Selling Away And Outside Business Activities
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Executive Representatives
Insurance
Legal & Compliance
Operations
Registered Representatives
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Outside Business Activities
Private Securities Transactions
Promissory Notes
NASD Rule 3030
NASD Rule 3040
Supervision
Executive Summary
NASD Regulation, Inc. (NASD Regulation)
(a) Prior written notice shall be given to FINRA whenever any member guarantees, endorses or assumes, directly or indirectly, the obligations or liabilities of another person.
(b) Prior written approval must be obtained from FINRA whenever any member receives flow through capital benefits in accordance with Appendix C of SEA Rule 15c3-1.
• • • Supplementary Material
Background
Input from our stakeholders indicated that they would welcome greater transparency regarding FINRA's budget, especially its financial projections and potential use of fines. FINRA for many years has published an Annual Financial Report that is prepared and audited in accordance with GAAP6 that describes the prior year's finances and operations. In the interest of promoting
(a) A capital acquisition broker or an associated person of a capital acquisition broker must have a reasonable basis to believe that a recommended transaction or investment strategy (as defined in FINRA Rule 2111) involving a security or securities is suitable for the customer, based on the information obtained through the reasonable diligence of the broker or associated person to ascertain the
ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
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Executive Representatives
Legal & Compliance
Operations
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Analyst Disclosures
Communication With The Public
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National Association of Securities
INFORMATIONAL
Continuing Education
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Continuing Education/Testing/Qualifications
Legal & Compliance
Registration
Senior Management
Continuing Education Regulatory Element Notification
Written Supervisory Procedures
Executive Summary
National Association of Securities Dealers, Inc. (NASD®) firms are reminded that the Web Central Registration
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Senior Management
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Registration
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Training
WASHINGTON, D.C. — As many Americans head into the holidays unemployed and behind in rent and utility bills, a new report from the FINRA Investor Education Foundation and SaverLife found that people who maintained more than $100 in savings were much less likely to have their utilities shut off or resort to high-cost borrowing methods. Those who had more than $250 in savings experienced reduced