Comment Period Expires: July 16, 1997
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Executive Summary
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests comment on specific amendments to the NASD® Free-Riding and Withholding Interpretation, IM-
NASD has filed with the SEC a proposed rule change to amend NASD Rule 7010(k) relating to fees for the Trade Reporting and Compliance Engine ("TRACE") prior to the expiration of the pilot program for fees on February 28, 2003. NASD is proposing to extend the pilot program for TRACE fees to June 30, 2003, to provide a temporary reduction of certain fees for a one calendar month period
Direct Purchases and Bank Loans as Alternatives to Public Financing in the Municipal Securities Market
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has amended Rule 15c3-3 under the Securities Exchange Act of 1934. These amendments, which for the most part, become effective on November 22, 1985, are designed to assure that customer funds and securities held by broker-dealers are protected against misuse or insolvency. It is anticipated that the net
En EspanolHow long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file
This version was introduced with the filing of SR-FINRA-2020-015, which has been filed for Immediate Effectiveness. This version is temporary and effective from May 8, 2020 through June 15, 2020, pending any future extensions.
(a) Hearing Panel Consideration
(1) Appointment of Hearing Panel
When the disqualified member, sponsoring firm, or
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc., has adopted amendments to the Venture Capital Restrictions of the Corporate Financing Interpretation under Article III, Section 1 of the NASD Rules of Fair Practice, which apply to venture capital investments by NASD members and certain of their associated and affiliated control persons prior
Following are FAQs about FINRA’s research conflicts of interest rules.
How can a firm find out which registered individuals have completed their current CE requirement?
Firms will continue to have access to dynamic reports in FINRA Gateway to assist with tracking the CE status of registered individuals. This report shows which individuals have begun and completed CE.
Can firms set up notifications for registered individuals about their CE requirements?
Firms can
The MSRB G-32 Report Card is a monthly status report to help firms evaluate the timeliness of their required filings under Municipal Securities Rulemaking Board (MSRB) Rule G-32. Amended Rule G-32, which became effective on June 1, 2009, consolidated the filing requirements of former Rule G-36 and the official statement delivery requirements of Rule G-32. The new rule establishes the MSRB's
