The Limited Review program can help to streamline the review process and provide faster clearance for non-shelf public offering filings.
Upcoming District Committee and District Nominating Committee Elections
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
On Friday, February 19, 2021, FINRA introduced a new Historical Data API via the FINRA API Developer Center (developer.finra.org). The OTC Transparency Weekly Summary will be the first dataset available via the Historical Data API and will be named WeeklySummaryHistoric. This change is designed to facilitate those API users who are downloading large amounts of historical data
Summary
FINRA has adopted new rules to address firms with a significant history of misconduct.1 New Rule 4111 (Restricted Firm Obligations) requires member firms that are identified as “Restricted Firms” to deposit cash or qualified securities in a segregated, restricted account; adhere to specified conditions or restrictions; or comply with a combination of such obligations. New Rule
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).
Comment Period Expires October 15, 1995
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Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® is proposing to amend the Corporate Financing Rule, Article III, Section 44, of the NASD Rules of Fair Practice (Rule) to require that certain registered and unregistered exchange offers and related information must be filed with
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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
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
