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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).
TO: All NASD Members
The Securities and Exchange Commission has adopted amendments to the NASD Rules of Fair Practice and Code of Procedure which were approved by a membership vote pursuant to Notice to Members 85-43, dated June 12, 1985.
The new rules provide the NASD with an additional regulatory tool in monitoring the financial and operational condition of members that are not designated to
Exemptive relief is granted based on the following considerations: (1) Name was not an MFP at the time the Contribution was made and was not involved in the solicitation of new municipal securities business; (2) the Firm took action once it became aware of the Contribution by instituting a self-ban on new City municipal securities business; (3) the Firm notified Name of her designation as an MFP and the accompanying restrictions; (4) the Firm has agreed to establish information barriers to help ensure the segregation of information flow, minimizing the potential for quid pro quo resulting from the Contribution; (5) the Firm represents that it has corrected the technical political contributions database problems and has established new procedures for direct notification to legal and compliance personnel of additions to the Parent Management Committee; and (6) although the Contribution has not been returned, the Firm represents that reasonable efforts have been made to obtain the return of the Contribution.
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Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15Fi-5 Security-based swap trading relationship documentation.
15Fi-5(a) Scope -
15Fi-5(a)(1) Applicability. The requirements of this section shall not apply to:
15Fi-5(a)(1)(i) Security-based swaps executed prior to the date on which a security-based swap dealer
Today, social distancing is an important component of public health. However the isolation that results has important implications for financial decision making, fraud vulnerability, and cognition among older investors. Join this panel for a discussion of emerging research on these topics and steps you can take to further protect your clients.
ACTION REQUESTED
Three Quote Rule
Comment Period Expires: January 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Trading & Market Making
Three Quote Rule
NASD Rule 2320(g)
Executive Summary
NASD Regulation, Inc. (NASD Regulation®) requests comment from members, investors, and other interested parties on a proposed
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
Summary
Pursuant to FINRA Rule 4210(f)(8)(A), FINRA is establishing higher strategy-based margin requirements for exchange-traded notes (ETNs) and options on ETNs in light of the complex nature of these products. The new requirements for initial and maintenance margin are detailed below.
In addition, FINRA is clarifying that ETNs and options on ETNs are not eligible for portfolio margining
(a) When and How Transactions are Reported
(1) Reports of secondary market transactions in direct participation programs shall be transmitted to the OTC Reporting Facility on the next business day ("T+1") after the date of execution between 8:00 a.m. and 1:30 p.m. Eastern Time, be designated "as/of" trades to denote their execution on a prior day, and be
FINRA is responsible for regulating every broker and brokerage firm doing business with the U.S. public. The selected statistics below represent: 1) the work we do as a regulator and 2) an overview of the securities industry based on data we capture.Key FINRA Statistics for 2023Regulatory Actions and Corporate Financing Review 2017 – 2023Key Industry StatisticsRegistered Representatives