Extension of Current Rate for Fees Paid Under Section 31 of the Exchange Act
INFORMATIONAL
Interfering With Customer Account Transfers
Implementation Date: February 11, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Training
Account Transfers
Employment Disputes
Injunctions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted Interpretive
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of November 28, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ASGU.GA
Amerisourcebergen Corp
8.
ACTION REQUESTED
Regulatory Fee
Comment Period Expires: February 28, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
NASD By-Laws
Regulatory Fees
Executive Summary
The National Association
Annual FINRA Election Cycle and Procedures Overview
INFORMATIONAL
Minor Violations Of Rules And Late Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Minor Rule Violation Plan
Schedule A of the NASD By-Laws
Executive Summary
On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
Proposed Rule Change to Modify the Dissemination Protocols for TRACE-Eligible Securities
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of June 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ADVP.GA
AdvancePCS
8.500
04/01/08
AES.GJ
AES Corp
8.
Exemptive relief is granted based on: representations that at the time of the contributions the individual was not employed by the firm, was not an MFP and was not seeking employment as an MFP; the firm already had a significant business relationship with the City of which the contribution recipients are issuer officials (as defined); the individual has attempted to obtain the return of the contributions; the firm has instituted barriers and controls around certain municipal business communications; and the individual will be prohibited from involvement in municipal securities business with the City for a period of time.
