/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning important organizational or operational changes, such as mergers with or acquisitions of other broker/dealers or the acquisition of a significant electronic data processing system
(a) Time to File Notice of Appeal
A Respondent or the Department of Enforcement may file a written notice of appeal within 25 days after service of a decision issued pursuant to Rule 9268 or Rule 9269.
(b) Effect
An appeal to the National Adjudicatory Council from a decision issued pursuant to Rule 9268 or Rule 9269 shall operate as a stay of that decision until the National Adjudicatory
SR-FINRA-2019-009 has been approved by the SEC. Effective May 8, 2019, this rule will no longer be applicable. Please consult the appropriate FINRA rule.
/01 Trading Against Firm Recommendations
Reserved.
/02 Private Sales
Reserved.
/03 Conversions, Acquisitions and Changes in Business Activities
Member organizations are expected to notify the Exchange when planning
Rules 203(b) (Short sales) and 204 (Close-out requirement) of Regulation SHO provide exceptions for bona fide market making activity. The SEC has provided guidance on what constitutes “bona fide market making activities” as well as examples of what does not. Member firms must also confirm and be able to demonstrate that any transaction for which they rely on a Regulation SHO bona fide market making exception qualifies for the exception, consistent with Regulation SHO and guidance.
Saving for retirement can get complicated for military spouses on the move, but you can still make the most of tax-advantaged retirement savings plans.
(a) A securities contract that has not been completed by the seller according to its terms may be closed by the buyer not sooner than the third business day following the date delivery was due, in accordance with this Rule.
However, this Rule shall not apply:
(1) where the contract is subject to the “buy-in” requirements of a national securities exchange or a registered clearing agency, in which
TO: All NASD Members
ATTN: Operations Principals, Cashiers and Buy-in Personnel
The Association's Board of Governors has adopted various amendments to the Uniform Practice Code which prescribes the manner in which over-the-counter securities transactions are compared, cleared and settled between NASD member firms. These amendments to the Code apply to all NASD members participating in
TO: All NASD Members
Enclosed herewith are proposed amendments to the Association's Uniform Practice Code ("Code") which were approved by the Board of Governors at its November 19, 1982, meeting. The amendments are being submitted to the membership for comment. After the comment period has expired, the Board of Governors will again review the proposal taking into consideration the
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On January 26, 1993, the Securities and Exchange Commission (SEC) approved an amendment to Article VI, Section 3 of the NASD By-Laws that permits the NASD to institute revocation proceedings against any member or associated person that fails to pay an arbitration award rendered by an NASD panel if a
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1992-93 NASD® broker/dealer and agent registration renewal cycle begins its second phase this month. The NASD is publishing information in this Notice to assist members in reviewing, reconciling, and responding to the Final Adjusted Invoice packages that were mailed to all
