INFORMATIONALSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesBoard ElectionsExecutive SummaryThe Annual Meeting of Members of NASD will be held on January 4, 2005, at 11:00 am, at the NASD Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of Governors to the NASD Board. Members can raise other topics for discussion by properly
The Cybersecurity section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
<p>Transactions in certain medium term notes, purchased and re-sold to retail customers during the offering period, should not be reported to TRACE as set forth in Rule 6230(e)(1) because the transactions are part of a primary distribution.</p>
FINRA Reminds Firms of Exercise Cut-Off Time for Weekly Options Expiring on Friday, November 23, 2012
INFORMATIONAL
Alternative Trading Systems that Trade Security Futures
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
Alternative Trading Systems (ATSs)Security Futures
Executive Summary
On January 27, 2003, the Securities and Exchange Commission (SEC) approved rule
<p>Separate sales contests are permissible under NASD Rule 2820(g) for group variable contracts.</p>
Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
FINRA Changes the Effective Date of the Minimum Quotation Size Pilot for OTC Equity Securities in FINRA Rule 6433 from November 5, 2012, to November 12, 2012
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 23, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Code of Arbitration Procedure (Code) clarifying the authority of arbitrators to issue injunctions. The amendments include a new section that permits parties in intra-industry disputes1 to seek emergency relief, called
