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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).
In addition to the Helpline, FINRA has consistently focused on addressing concerns relating to senior investors. Our efforts have included rulemaking to provide firms with tools to address financial exploitation of seniors, guidance in FINRA publications, reviews of senior investor protection programs in our examinations, enforcement actions and collaboration with other regulators, as well as
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Training
Executive Summary
On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for which an
This is an update to the schedule for the rollout of FINRA’s Multi Factor Authentication (MFA). As part of its Transparency Services improvement initiatives, FINRA is introducing a new method for users to gain secure access to the TRAQS website and will be introducing a new system infrastructure for its products.
On Monday, April 19, 2021 (previously January 25, 2021), FINRA will replace
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS JULY 12, 1985
Enclosed is a proposed new rule under Article III of the NASD Rules of Fair Practice. Proposed Section 39 was approved by the NASD'S Board of Governors and now requires the membership's approval. If approved, it must then be filed with and approved by the Securities and
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and the District Nominating Committees.
TO: All NASD Members
Effective November 13, 1984, all securities designated for inclusion in the NASDAQ National Market System will, as of the date of designation, become immediately marginable. This change is the result of recent amendments adopted by the Federal Reserve Board to its credit regulations governing the extension of credit by broker-dealers (Regulation T), banks (Regulation U), and
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of May 27, 1992, the following 62 issues joined the Nasdaq National Market, bringing the total number of issues to 2,863:
Symbol
Company
Entry Date
SOES Execution Level
SPTN
SportsTown, Inc.
4/22/92
1000
SMRT
Stein Mart, Inc.
4/22/92
1000
The TRACE Quality of Markets Report Card for Securitized Products is a monthly status report for the reporting of transactions in Asset Backed Securities, Mortgage Backed Securities and other similar securities, collectively defined as "Securitized Products", to the Trade Reporting and Compliance Engine (TRACE). Firms are required to report trades in accordance with established FINRA
(a) When and How Transactions are Reported
Each member that is a Party to a Transaction in a TRACE-Eligible Security must report the transaction. A member must report a transaction in a TRACE-Eligible Security as soon as practicable, but no later than within 15 minutes of the Time of Execution, except as otherwise specifically provided below. Transactions not reported within the specified