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Information Notice - 4/15/11
Continuing Education Planning
Information Notice - 10/15/10
Continuing Education Planning
SR-NASD-2004-031
To Establish Effective Date for NASD Rule 3370, Affirmative Determination Requirements
Interpretive Letter to Robinson Markel, Esq., Rosenman & Colin, LLP
<p>Adequate documentation of reasonable efforts to borrow, standing alone, would not constitute a circumstance sufficient to mitigate the inability to deliver securities on settlement date where a member has relied upon an "Easy to Borrow" or "Hard to Borrow" list.<br /> </p>
Quarterly Disciplinary Review - Fall Issue/September 2006
The Office of General Counsel (OGC) of NASD Regulatory Policy and Oversight 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 (Hearing Panel and National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission (SEC) in NASD cases).
Notice To Members 92-45
SUGGESTED ROUTING:* Senior ManagementInternal AuditLegal &amp; Compliance*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) in Release No. 34-30929 has announced the adoption of new temporary Rules 17h-1Tand 17h-2T establishing a risk assessment recordkeeping and reporting system for broker/
SR-NASD-2006-100
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend Rule 2860 (Options) to (1) require that a copy of each amendment to the options disclosure document, Characteristics and Risks of Standardized Options, be distributed to each customer not later than the time of the delivery of a confirmation of a transaction in
Rulemaking Items for Discussion at the December 2010 Meeting
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
Notice to Members 05-22
GUIDANCE Large Options Positions Reports SUGGESTED ROUTING KEY TOPICS Senior ManagementLegal &amp; ComplianceOperationsOptionsSystemsTrading Options Executive Summary As a result of enhancements to the Securities Industry Automation Corporation's (SIAC) Large Options Positions Reporting system, NASD is eliminating the manual reporting of Large Options