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ACTION REQUIREDAmendments to Section 5 of Schedule A to the NASD By-Laws SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFeesNASD By-LawsSimultaneous Filing Group (SFG)Executive SummaryThe Securities and Exchange Commission (SEC) has announced the immediate effectiveness of amendments to Section 5 of Schedule A to the NASD By-Laws (Section 5) to (1) clarify that
GUIDANCEExecutive RepresentativesEffective Date: May 14, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementExecutive RepresentativeRule 1150Executive SummaryOn March 29, 2004, the Securities and Exchange Commission (SEC) approved a rule change to require members to review and, if necessary, update their executive representative designation and contact information
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryIn early June, NASD will issue a formal Notice to Members soliciting candidates and explaining the process for nominating individuals to serve on both the District Committees and the District Nominating Committees.In this election, each
INFORMATIONALBorrowing From and Lending to CustomersEffective date: February 18, 2004SUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceRegistered RepresentativesSenior ManagementBorrowing From and Lending to CustomersRule 2370Executive SummaryOn August 29, 2003, the Securities and Exchange Commission (SEC) approved the adoption of NASD Rule 2370, prohibiting registered
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
GUIDANCEResearch Analysts and Research ReportsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeInvestment BankingLegal & ComplianceOperationsResearchSenior ManagementAdvertisingInvestment BankingResearch ReportsExecutive SummaryIn July 2002, NASD and the New York Stock Exchange (together, the SROs) issued a joint memorandum (the July 2002 Joint Memo) that provides interpretive guidance
Service members or dependents may receive one-time lump sum payments for injuries, loss of life, insurance, or lawsuit proceeds. These payments can replace lost future income, so take steps to ensure they provide a long-term benefit for your family. To make the most of military benefits and lump sum payments consider these tips.
FINRA offers parties in active arbitration cases free or low-cost telephone mediation with initial claim amounts of $50,000 or less.
After conferring with the parties, FINRA will send a list of proposed mediators from its roster of experienced mediators. The mediators on the list may have subject-matter expertise or other experience, consistent with the parties' needs in the case.
The Discovery Guide is a helpful reference to help you manage expectations regarding documents the other Party might request. FINRA provides the Discovery Guide for customer cases only. This Guide outlines the documents that Parties should exchange without Arbitrator or staff intervention.The Discovery Guide contains two Document Production Lists of presumptively discoverable documents:one for