The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On November 5, 1986, the United States District Court for the Eastern District of New York, appointed the Securities Investor Protection Corporation (SIPC) Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
TO: All NASD Members, NASDAQ Foreign Issuers and Other Interested Persons
The NASD has adopted revisions to Section C of Part II of Schedule D under Article XVI of the By-Laws which contains eligibility and authorization requirements for inclusion of foreign issues on the NASDAQ System. These revisions to the qualification requirements were formulated in response to the strong concern expressed
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Training
Executive Summary
The obligation of NASD® members under the Rules of Fair Practice with respect to mutual fund sales practices is a continuing concern of the NASD. The proliferation of new mutual funds and varied fee structures has significantly increased the options available for
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On March 26, 1986, the United States District Court, of New Jersey appointed a SIPC Trustee for the above-captioned firm. Previously, a Trustee in Bankruptcy had been appointed for the firm on July 29, 1985.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On September 30, 1985, the United States District Court for the Southern District of Florida, Miami Division, appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(1) of the NASD's Uniform Practice Code to close out open
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 17, 1985, the United States District Court for the Southern District of New York appointed a SIPC Trustee for the above-captioned firm. Previously, a Temporary Receiver had been appointed for the firm on May 7, 1985.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 13, 1984, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on January 31, 1984.
Members may use the "immediate close-out" procedures as provided in Section 59(1
