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<p>Requirements of member firms to establish a schedule for and conduct inspections of Offices of Supervisory Jurisdiction and branch offices.<br /></p>
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
(a) Request for Oral Argument
A Party may request oral argument before the Subcommittee or, if applicable, the Extended Proceeding Committee. Oral argument shall be requested in writing either in the Party's notice of appeal or cross-appeal or within 15 days after service of the National Adjudicatory Council's notice of review. Subject to the limitations of Rules 9342 and 9344, oral
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that had an
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Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining
Executive Summary
Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a
FINRA announced today that it has appointed Bill St. Louis as Head of Enforcement, effective immediately. St. Louis, an Executive Vice President, was most recently head of FINRA’s National Cause and Financial Crimes Detection Program (NCFC). St. Louis will be responsible for the management of approximately 350 enforcement staff in 11 offices across the United States and will report directly to FINRA President and CEO Robert Cook.
Summary
The NAC has revised FINRA’s Sanction Guidelines, which guide FINRA adjudicators in developing remedial sanctions for violations of the securities rules. These revisions were based on a review to ensure that the guidelines accurately reflect the levels of sanctions imposed in FINRA disciplinary proceedings. The revisions tailor sanctions to differentiate between types of respondents and
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 1, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article HI, Section 27 of the NASD Rules of Fair Practice that would (1) prescribe specific supervisory practices and procedures for all member firms and (2) revise the definitions of "office of supervisory jurisdiction" (OSJ)
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
Comment Period Expires January 31, 1995
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Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
The NASD requests comments on proposed amendments to Article in, Section 45 of the Rules of Fair Practice that would require certain disclosures and reporting of Direct Participation Program (DPP) securities on customer account statements. Units