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Monthly Disciplinary Actions September 2005
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
NASD Reiterates Obligations To Display Customer Limit Orders Pursuant To SEC Rule 11Ac1-4
INFORMATIONAL Displaying Customer Limit Orders SUGGESTED ROUTING KEY TOPICS Legal & Compliance Senior Management Systems Trading & Market Making Limit Orders Order Handling Rules SEC Rule 11Ac1-4 (Display Rule) 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
Notice To Members 95-39
SUGGESTED ROUTING Senior Management Legal & Compliance Registration The Membership Department would like to remind members of the importance of keeping the names of executive representatives, as well as mailing addresses for branch offices, up to date. Making certain that the Central Registration Depository (CRD) is kept informed of changes in address and contact people ensures
Notice To Members 94-55
SUGGESTED ROUTING Senior ManagementLegal & ComplianceRegistration The Membership Department would like to remind members of the importance of keeping the names of executive representatives, as well as mailing addresses for branch offices, up to date. Making certain that Central Registration Depository (CRD) is kept informed of changes in address and contact people ensures that
Notice to Members - April 1999
Various updates.
Notice to Members 04-49
INFORMATIONAL Arbitrator Classification Effective Date: July 19, 2004 SUGGESTED ROUTING KEY TOPICS Legal & Compliance Arbitration Arbitrators Dispute Resolution Executive Summary The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rules 10308 and 10312 of the NASD Code of Arbitration
Election Notice – 9/4/19
Summary The purpose of this Notice is to inform small FINRA member firms1 of the upcoming Small Firm Advisory Committee (SFAC) election. One seat on the SFAC is up for election, representing the New York region. The SFAC provides guidance to FINRA staff, particularly regarding the potential impact of proposed regulatory initiatives on FINRA’s small firm members. The SFAC meets four times a year
Notice To Members 94-12
SUGGESTED ROUTING Legal & ComplianceOperationsSystemsTrading As of January 27, 1994, the following 43 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,499: Symbol Company Entry Date SOESSM Execution Level ALMIW Alpha Microsystems (Wts Exp 9/1/98) 1/3/94 500 HALL Hallmark Capital Corp. 1/3/94 200 SECP Security Capital
Testimony Before the Subcommittee on Financial Management, the Budget and International Security Senate Committee on Government Affairs
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.