Summary
FINRA’s CAB rules provide a simplified rulebook for broker-dealers that engage only in limited capital advisory, corporate restructuring and private placement activities. FINRA is requesting comment on proposed amendments to the CAB rules to make them more useful to CABs without reducing investor protection.
The proposed rule text is available in Attachment A.
Questions regarding this
Effective August 1, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
At its July 1995 meeting, the NASD® Board of Governors approved temporary fee increases for certain agent registration filings to help fund the redesign and implementation of the Central Registration Depository (CRD). The following fee increases are effective August 1, 1995:
SUGGESTED ROUTING
Senior Management Legal & Compliance Mutual Fund
Executive Summary
In Notice to Members 94-14, the NASD provided guidance on compliance with Article HI, Section 26 of the Rules of Fair Practice, which requires members to disclose in the fund prospectus any compensation received in the sale of mutual fund securities. This Notice clarifies that the guidance provided in
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).
FINRA member firms have an obligation to report over-the-counter secondary market transactions in eligible equity and fixed income securities to a FINRA facility. The TRACE, ADF and ORF facilities are accessed by completing a FINRA Participation Agreement (FPA). Firms are also able to establish web users of the TRAQS web application by completing the FINRA Order Form.
The Participant Data
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to the NASD By-Laws to extend the NASD's summary suspension procedures to permit the NASD to suspend the membership or registration of a party that has
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Article VI, Sections 3 and 4 of the NASD By-Laws to provide for the suspension or cancellation of the registration of an associated person in the
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
Summary
FINRA has adopted amendments to the Rule 6700 series (Trade Reporting and Compliance Engine (TRACE)) to require members to report to TRACE transactions in U.S. dollar-denominated foreign sovereign debt securities. The amendments will take effect on November 6, 2023.
The amended rule text is available in the online FINRA Manual.
Questions regarding this Notice should be directed to:
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 8, 1991, the following seven issues joined Nasdaq/NMS, bringing the total number of issues to 2,554:
Symbol
Company
Date
SOES Execution Level
AHSI
ALTA Health Strategies, Inc.
1/22/91
1000
GENZW
Genzyme Corporation (Wts)
1/30/91
