INFORMATIONAL
Hard To Borrow List
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Trading & Market Making
Affirmative Determination
NASD Rule 3370
Short Sales
Executive Summary
On March 23, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of
INFORMATIONAL
SEC Rule 504 And Intra-State-Only Offerings
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Trading & Market Making
Free-Riding and Withholding
IM-2110-1
NASD Rule 2710
NASD Rule 2720
NASD Rule 2810
Underwriting Compensation
Executive
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Executive Summary
In the third quarter of 1998, The Nasdaq Stock MarketSM (Nasdaq®) will discontinue the Trade Acceptance and Reconciliation ServiceSM (TARSSM) and will incorporate its functionality into the Automated Confirmation Transaction ServiceSM (ACTSM). ACT
SUGGESTED ROUTING
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining
The NASD® published the following Notices to Members during 1993. Duplicate copies are available at $25 per monthly or special issue. A bound-volume, indexed reprint of the entire year's Notices is
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTradingTraining
Executive Summary
On March 22, 1993, the Securities and Exchange Commission (SEC) approved amendments to Schedule D, and Schedule G, to the By-Laws and to the Rules of Practice and Procedure for the Automated Confirmation Transaction (ACT) service rules to require members to input the time of execution on
(a) Compliance with Quoting and Trading Restrictions
(1) Member Compliance
Members shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the applicable quoting and trading requirements of the Plan.
(2) FINRA Compliance
FINRA systems will not display quotations in violation of the Plan and this Rule.
(3) Pilot Securities That Drop
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
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
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
Summary
The protection of senior investors is a top priority for FINRA. In August 2019, FINRA launched a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The review indicated that FINRA’s steps to protect seniors have provided helpful and effective tools in the fight against
