Executive Summary
As announced in Notice to Members 02-41 and Special Notice to Members 02-63, NASD has amended Section 8(a) of Schedule A to NASD's By-Laws, eliminating the Regulatory Fee and instituting a new transaction-based Trading Activity Fee which funds NASD's member regulatory activities.1
Questions/Further Information
Questions concerning this Notice
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
To improve disclosure of broker-dealer compensation for order flow and to make the disclosure more uniform, the NASD Board of Governors
<p>Applicability of Rule 3230 to a three-party clearing agreement.</p>
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, August 4, 1987, 30 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,018. These 30 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS NOVEMBER 3, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to the NASD Rules of Fair Practice that would require advertising and sales literature for publicly offered direct participation programs to be filed with the NASD's Advertising Department. The NASD will
INFORMATIONAL
Notices to Members
SUGGESTED ROUTING
KEY TOPIC
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
Just over one year ago, FINRA launched the Innovation Outreach Initiative as part of FINRA360, our comprehensive organizational review. The Initiative began an ongoing dialogue with industry participants, investor advocates and policy makers centered on the implications of financial technology (fintech) for the broker-dealer industry.
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
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).
