ACTION REQUESTED
Expungement
Comment Period Expired December 31, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
Central Registration Depository System
Expungement
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®)
Remarks From the National Compliance Outreach Program for Broker-Dealers
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).
SUGGESTED ROUTING*
Senior Management Government SecuritiesLegal & Compliance OperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 2, 1988, the Securities and Exchange Commission approved amendments to the NASD By-Laws and Rules of Fair practice and new Government Securities Rules designed to permit the NASD to
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
REQUEST FOR COMMENT
Sales Contests and Non-Cash Compensation
Comment Period Expires August 5, 2005
SUGGESTED ROUTING
KEY TOPICS
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Sales Contests
Non-Cash Compensation
Executive Summary
NASD currently restricts the payment and
GUIDANCE AND REQUEST FOR COMMENT
Regulatory Transaction Fees
Comment Period Expires March 30, 2005
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Regulatory Transaction Fees
Section 31 of the Exchange Act
Section 3 of Schedule A to the NASD By-Laws
Executive Summary
In August 2004, NASD issued Notice to Members (NtM) 04-63
In an effort to communicate technical changes to its trade reporting and quotation facilities - TRACE, ORF, and ADF (and related systems) with FINRA member firms, FINRA is introducing a new web page, on FINRA.org, where firms may review upcoming market transparency initiatives. This page will be updated on a regular basis in addition to technical notices that will continue to be posted and
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).
When it became clear that FINRA was going to move to a fully remote work environment in early March, most of the focus was on how to continue conducting business in a fully digital environment. But several functions FINRA performs still require sending materials in the mail to firms and individuals. One example is the Regulatory Review group within Credentialing, Registration, Education and
