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FINRA Requests Comment on Proposed Consolidated FINRA Rules Governing Markups, Commissions and Fees
I am Daniel M. Sibears, Vice President, Member Regulation of NASD Regulation, Inc. (NASDR). I appreciate the opportunity to appear before you today to give the views of the National Association of Securities Dealers, Inc. (NASD) on the examination of the securities activities of banks and other financial institutions.
SummaryThrough its examinations of member firms, FINRA has observed instances of non-compliance with SEA Rule 15c3-1, SEA Rule 17a-3 and SEA Rule 17a-5 resulting from misapplication of the Financial Accounting Standards Board’s Accounting Standard Codification 606, Revenue from Contracts with Customers (“ASC 606”). This Notice provides guidance regarding potential compliance issues with respect
Executive SummaryFINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC), the Regional Committees and the National Adjudicatory Council (NAC). Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the NAC, and candidates for vacant Regional Committee seats
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Training
Executive Summary
On September 29, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Corporate Financing Rule, Article III, Section 44 of the NASD Rules of Fair Practice relating to rights of first refusal. The amendment continues to permit the use of rights of first refusal, but
Revised Policy for Disseminating Reports of Fewer Than 100 Shares; Effective Date: April 21, 2008
SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved several proposed rule changes by the NASD concerning trading in exchange-listed securities by NASD Consolidated Quotation System (CQS) market makers.1 Specifically, the following rules will be effective on October 31, 1994:
All CQS market
INFORMATIONAL
Business Conduct and Responsibility Rules
Effective Date: October 15, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations, Trading and Training
Registered Representatives
Senior Management
Security Futures
Executive Summary
On October 15, 2002, the Securities and Exchange Commission (SEC) approved rule
Comment Period Expires: August 28, 1995
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Options
Executive Summary
The Board of Governors of the Federal Reserve System (Fed.) is requesting comments on proposed changes to Regulation T (Reg. T), which covers extensions of credit by and to broker/dealers. The proposed
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On January 5, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change codifying existing requirements for access to and use of the OTC Bulletin Board® service (OTCBB).1 This codification will provide a ready reference to OTCBB rules and operational requirements in a discrete section of the