Comment Period Expires: January 9, 1998
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on proposed amendments to National Association of Securities Dealers, Inc. (NASD®) Rule 2810 (DPP Rule or Rule) that would modify the compensation that members are
Bringing somebody new into the broker dealer industry is an expensive endeavor. Much of the industry works on a share of revenue generated through a registered representative's activities. Unless a new associate comes from an ecosystem of friends and family that would be willing to invest with the new associate the prospects for generating sufficient revenue to reward the firm and the
Annual Report; FOCUS; Form Custody; Supplemental Statement of Income (SSOI); Supplemental Schedule for Derivatives and Other Off-Balance Sheet Items (OBS); and Supplemental Inventory Schedule (SIS)
Summary
To assist members in their financial reporting obligations, FINRA is issuing this Notice to provide the due dates for Annual Report, Financial and Operational Combined Uniform Single (FOCUS
GUIDANCE
Supervision of Recommendations after a Registered Representative Changes Firms
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Senior Management
Mutual Funds
Registered Representatives
Rule 11870
Supervision
Variable Products
Executive Summary
Registered representatives with an established customer base
may, from time to time,
Executive Summary
On December 20, 1995, the Securities and Exchange Commission (SEC) approved a proposed Rule change by the NASO® that prohibits NASO members from executing over-the counter transactions in an exchange listed security that is the subject of an initial public offering (IPO) until the security has opened for trading on the exchange that lists the security. The Rule change
Testimony of Chairman and CEO, Richard Ketchum, Before the Subcommittee on Capital Markets and Government Sponsored Enterprises Committee on Financial Services
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, March 28, 1986. "Regular-way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
INFORMATIONAL
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal and Compliance
Operations Managers
Fees
NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
The FINRA Board of Governors meets this week in Washington, DC. Read President and CEO Robert Cook’s email to firms previewing the agenda.
SUGGESTED ROUTING
Senior Management
Institutional
Internal Audit
Legal & Compliance
Operations
Systems
Trading
Training
Executive Summary
In the following document, the National Association of
