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This webcast focuses on what firms should expect from the Anti-Money Laundering reviews conducted as part of FINRA's routine examinations. We will review how FINRA examiners will check to make sure you have appropriate AML procedures in place, and you will learn what we expect of you and what you should expect from us during the AML part of an exam.
Two important regulatory developments relate to obtaining customer information: the Anti-Money Laundering Customer Identification Rule and the SEC's Books and Records Customer Account Records Rule. These rules require that important customer identification be obtained. However, these rules have critical differences including their purposes, their definitions, and their timing requirements. We created this document to assist our member firms. It contains brief summaries of the rules' relevant provisions.
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
The schedule of trade dates/settlement dates below reflects the observance by the financial community of Lincoln's Birthday, Monday, February 13, and Washington's Birthday, Monday, February 20. On Monday, February 13, the NASDAQ System and the exchange markets will be open for trading. However, it
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 1, 1984, the United States District Court for the Southern District of New York appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(1) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also
TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the second quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006.
Notice Number
Date
Topic
83-52
October 6, 1983
Group Surety Bond Buying
TO: All NASD Members
Attention: Registration and Trading Departments
Control Data Corporation will be shutting down its PLATO computer system from Saturday, March 3rd, to Sunday, March 11th, to effect major hardware consolidations. To minimize scheduling problems during the period surrounding he shutdown, the NASD is extending the PLATO expiration dates of candidate enrollments expiring the week
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 13, 1984, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on January 31, 1984.
Members may use the "immediate close-out" procedures as provided in Section 59(1
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, March 20, the National Market System will include 834 securities as 50 more NASDAQ securities are phased into the System. These 50 securities meet the SEC's voluntary designation criteria, which include six-month average trading volume of 100,000 shares a month and a minimum bid price of $5.
The 50 securities scheduled to
Notice to members 84-16
NOT AVAILABLE AT THIS TIME
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Interested Persons
LAST VOTING DATE IS APRIL 13, 1984
Attached is a proposed amendment to Article V, Section 1 of the Association's Rules of Fair Practice which has been approved by the Board of Governors for submission to the membership for a vote.
The proposed amendment to Article V, Section 1 of the Rules of Fair