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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 21, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws. In pertinent part, the proposed rule amendments would:
(1) prohibit a firm that withdraws, on an unexcused
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
At its May 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comment on the Report of the Subcommittee on Punitive Damages of the NASD Legal Advisory Board. The Report proposes a number of approaches that the NASD might adopt for the award of punitive damages in
Each person engaged in the investment banking or securities business of a member shall be registered with FINRA as a representative or principal in each category of registration appropriate to his or her functions and responsibilities as specified in Rule 1220, unless exempt from registration pursuant to Rule 1230. Such person shall not be qualified to function in any registered capacity other
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
INFORMATIONAL
Advertising Modernization
SUGGESTED ROUTING
KEY TOPICS
Advertising
Internal Audit
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rule 2210
Executive Summary
On May 9, 2003, the Securities and
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Advertising
Investment Banking
Research Reports
Executive Summary
On May 10, 2002, the SEC approved new NASD Rule 2711, Research Analysts and Research Reports. The rule is intended to improve the objectivity of research and provide
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
On November 24, 1992, the Securities and Exchange Commission (SEC) adopted significant amendments to the Net Capital Rule, Rule 15c3-1. The changes to the minimum net capital requirements will take effect in three installments beginning July 1, 1993; other changes took effect on
January 31, 2012
Dear Executive Representative/Chief Compliance Officer:
FINRA® is publishing its
2012 Regulatory and Examination Priorities Letter
to highlight new and continuing areas of significance to our regulatory programs, including topics of heightened importance to FINRA's Member Regulation, Market Regulation and Enforcement Departments, and the
SummaryFINRA is issuing this Notice to provide guidance for members affected by the recent failures of Silicon Valley Bank (SVB) and Signature Bank (Signature).Questions concerning this Notice should be directed to your firm’s Risk Monitoring Analyst.BackgroundThe following is guidance for member firms affected by the recent failures of SVB and Signature.For Members with Deposits at SVB and
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 24, 1992, the Securities and Exchange Commission (SEC) announced the adoption of amendments to its Net Capital Rule, Rule 15c3-1 (Rule). Except for the minimum increases scheduled to take