INFORMATIONAL
Municipal Securities Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Customer Transactions
Inter-dealer Transactions
MSRB Rules G-12 And G-14
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) reminds member firms about the obligations imposed by Municipal Securities Rulemaking Board (
FINRA Requests Comment on Concept Proposal to Require a Disclosure Statement for Retail Investors at or Before Commencing a Business Relationship
SUGGESTED ROUTING
Legal & ComplianceOperationsTrading
Executive Summary
On July 22, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change that deletes Part IX, Schedule D to the NASD By-Laws. The deleted provision permitted NASD members to access The Nasdaq Stock Market (Nasdaq) in a market-making capacity without subscribing to Level 3 Nasdaq Workstation
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On July 11, 1994, the Securities and Exchange Commission (SEC) approved an amendment to Section 5 of the Code of Arbitration Procedure (Code) to specify that arbitrators, at the conclusion of a proceeding, may refer matters arising or discovered during the course of a proceeding for disciplinary investigation
SUGGESTED ROUTING
Legal & ComplianceSystems
Executive Summary
On March 14, 1994, the Securities and Exchange Commission (SEC) approved an amendment to Section 4 of the OTC Bulletin Board (OTCBB®) rules that requires OTCBB market makers to indicate, by a fifth-character geographic indicator appended to their market-maker identifier (MMID), that the firm's trading desk for a
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundSyndicate
Executive Summary
On February 24, 1994, the Securities and Exchange Commission (SEC) approved an amendment to Article III, Section 26(d)(4) of the Rules of Fair Practice exempting money market mutual funds with asset-based sales charges equal to or less than 25 basis points from disclosing that "long-
TO: All NASD Members and Level 2 and Level 3 Subscribers
An additional 12 securities will join the 728 already designated to trade in the NASDAQ National Market System on Tuesday, February 7, 1984. These securities have met the mandatory NMS designation requirements which include an average trading volume of 600,000 shares a month and a minimum bid price of $10 on the last five business
The Neutral Corner Volume 4 - 2017
Mission Statement
Year End Message
Seven Steps to a Successful Telephonic Mediation (Christopher Kauders, FINRA Mediator)
Office of Dispute Resolution and FINRA News
Case Filings and Trends
Hurricane Maria Update: Guidance for Cases Venued in Puerto Rico
Demographic Survey—Thank You
NYCLA Program: 19th Annual FINRA
TO: All NASD Members
There appears to be a growing practice among member firms to offer their retail customers a service whereby debit balances created by the purchase of securities in the customer's cash account with the member will be automatically satisfied by the redemption of shares of a money market fund. This practice is distinguishable from what have been called "account
Regulation T and SEA Rule 15c3-3 Extension of Time Requests Under a T+2 Settlement Cycle
