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TO: All NASD Members and Other Interested Persons
Following is a list of NASD Notices to Members issued during the third quarter of 1984. 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
84-36
July 18, 1984
Request for Comments on
<p>Based on certain representations and compliance with the requirements of SEC Rule 17a-4(i), third party may provide recordkeeping services to its NASD member clients, such that the member clients would not be required to individually download and separately retain copies of documents required pursuant to Rule 2790(b).</p>
Regulatory Notice
Notice Type
Request for Comment
Referenced Rules & Notices
Exchange Act Sections 3(a)(10), (12), (29) and (42)
FINRA Rules 0150, 2010, 2241, 2242, 2320, 4370, 5240, 5250, 5270, 5280, 5310, 5320, 6420 and 6710
NASD Rules 1021, 1022, 1031, 1032 and 1050
SEA Regulation NMS
Heightened Supervision of Complex Products
Securities Industry/Regulatory Council on Continuing Education Issues Firm Element Advisory Update
(a) In response to a written inquiry, electronic inquiry, or telephonic inquiry via a toll-free telephone listing, FINRA shall release through FINRA BrokerCheck information regarding:
(1) a current or former FINRA member or a current or former member of a registered national securities exchange that uses the Central Registration Depository ("CRD") for registration purposes ("CRD
REQUEST FOR COMMENT
Regulation of IPO Allocations and Distributions
Comment Period Expires: September 9, 2002.
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Registered Representatives
Senior Management
Trading & Market Making
Flipping
IPO Allocations
NASD Rule 2710
NASD Rule 2712
Penalty Bids
Spinning
Underwriting Compensation
What the world saw in the final week of January 2021 was the cartelization of speculators who specialize in selling short stocks and options in the American capital markets. Whether or not this association's formation was premeditated or ad hoc is irrelevant to the events that unfolded and are continuing to unfold in relation to the impending implosion, real or perceived, of the system that
Monthly Disciplinary Actions June 2018
