TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the third quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
83-31
July 7, 1983
Adoption of Revised and
The Outside Business Activities and Private Securities Transactions section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
For purposes of the UPC Code (FINRA Rule 11000 Series) and other FINRA rules that permit review of FINRA decisions by the UPC Committee, a decision of the UPC Committee may be rendered by a panel of that Committee. The panel shall consist of three or more members of the UPC Committee, provided that no more than 50 percent of the members of any panel are directly engaged in market making activity
March 1, 2010
Dear Executive Representative:
FINRA is issuing its 2010 annual examination priorities letter to highlight new and existing areas of significance to FINRA's examination program for the year. This year's annual letter goes beyond the focus of FINRA's Market Regulation and Member Regulation Departments to also include topics that are of heightened importance to the
An amendment to the chairperson eligibility requirements of the Code of Arbitration Procedure for Customer Disputes and Industry Disputes that removes the alternative "substantially equivalent training or experience" criterion is effective September 22, 2008.
I for one am in favor of the enhanced reporting requires. An efficient market can only exist when accurate information is available to make informed decisions. As there is ample evidence of past and present naked shorting despite restrictions against it, requiring proper disclosures of large short positions, along with sufficient penalties to ensure accurate reporting is critical to identify the
Effective Wednesday, September 1, 2021, FINRA OATS Rules were deleted from the FINRA rulebook. See Regulatory Notice 21-21 and OATS retirement notice.
FINRA has updated the Alternative Display Facility (ADF) and Over-the-Counter Reporting Facility (ORF) specifications to accommodate these changes and has renamed fields labeled “OATS” with “Compliance”.
Please contact FINRA Product
Good Evening, I support these changes. I’ve have experienced the consequences of not having these rules in place and had lost a lot of confidence in investing in the financial system. Not having these changes in place also make me worry about a complete collapse of the financial system. These proposed changes have restored a lot of my confidence. Please implement these changes as soon as possible
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceMutual Fund*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On July 7, 1992, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 26 of the NASD Rules of Fair Practice relating to asset-based sales charges by mutual funds.
INFORMATIONAL
NASD Examinations
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Recording NASD Field Examinations
Executive Summary
In response to a request by a member firm, NASD Regulation, Inc. (NASD RegulationSM) recently clarified its long-standing practice of not permitting members to record by video or audio tape conversations between
