FINRA Encourages Firms to Notify FINRA if They Engage in Activities Related to Digital Assets
Remarks From the SIFMA Complex Product Forum
On behalf of the National Association of Securities Dealers ("NASD"), I want to thank the Committee for this opportunity to testify. My name is Daniel M. Sibears and I am a Senior Vice President and Deputy for Member Regulation at NASD in Washington, D.C.
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Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(7)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
A member must submit a letter requesting a materiality consultation for specified changes in ownership, control, or business operations,
Reporting of Information Relating to OTC Trades in NMS Stocks
Separate sales contests under NASD Rule 2820(g) for group variable annuity contracts and employer-sponsored retirement plans.
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
Proposed Changes to the Personnel Assessment and Gross Income Assessment Fees
The work you do is incredibly important, and we appreciate and respect your critical contributions to our shared objectives of investor protection and market integrity.
SEC Approves New Requirements for Alternative Trading Systems
