FINRA Provides Guidance on Disclosure of Fees in Communications Concerning Retail Brokerage Accounts and Individual Retirement Accounts
Executive Summary
The NASD requests member comment on proposed amendments to Rule 2830 (formerly Article III, Section 26 of the NASD® Rules of Fair Practice) of the NASD's Conduct Rules (Investment Company Rule) that would: (1) expand the current definitions of cash compensation and non-cash compensation, (2) revise the current prospectus disclosure provisions to prohibit a member from
Executive Summary
On December 28, 1995, the National Association of Securities Dealers, Inc., (NASD) filed with the Securities and Exchange Commission (SEC) for its approval rules governing members conducting business on the premises of a financial institution (proposed rules). The proposed rules focus on issues of investor confusion involving the purchase of uninsured securities products and,
SEC Approves Amendments to Arbitration Codes to Revise the Definition of Non-Public Arbitrator
April 18, 1994
Dear Member:
On April 13, 1994, the Securities and Exchange Commission (SEC) approved Municipal Securities Rulemaking Board (MSRB) Rule G-37 regarding political contributions and prohibitions on municipal securities business. Related amendments to Rules G-8 and G-9 on record-keeping and record retention, respectively, were also approved. The limitations and requirements
SEC Approves Amendments Expanding TRACE to Include Agency Debt Securities and Primary Market Transactions
B&D CAPITAL PARTNERS, LLC211 EAST BLVD., CHARLOTTE, NC 28203-4719B. C. ZIEGLER AND COMPANYONE NORTH WACKER DRIVE, SUITE 2000, CHICAGO, IL 60606B. RILEY SECURITIES, INC.11100 SANTA MONICA BLVD, SUITE 800, LOS ANGELES, CA 90025B. RILEY WEALTH MANAGEMENT40 SOUTH MAIN, SUITE 1600, MEMPHIS, TN 38103B.B. GRAHAM & COMPANY, INC.1700 W. KATELLA AVE., ORANGE, CA 92867BA SECURITIES, LLCFOUR
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
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Syndicate
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Trading
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1995. On this day, The Nasdaq Stock Market™ and the securities exchanges will be open for trading. However, it will not be a settlement date
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On January 14, 1998, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (NASD®) Rule 11890 regarding the handling of clearly erroneous transactions. 1 The NASD and The Nasdaq Stock MarketSM (Nasdaq®)
SUGGESTED ROUTING
Senior ManagementInstitutionalOptionsTrading
Effective July 11, 1994, tier sizes for 500 Nasdaq National Market (NNM) securities will be revised in accordance with ¶2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the revised SOES rules (see Special Notice to Members 94-1 January 5, 1994), the maximum order-execution
