INFORMATIONAL
Statutory Employment Discrimination
Arbitration Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration Fees
Executive Summary
On October 24, 2005, the Securities and Exchange Commission (SEC)
approved an amendment to the fee schedule for certain statutory
employment discrimination claims.1 Under the new fee schedule,
a current or former
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).
SEC Approves Amendments Relating to Stop Orders
Continuing Education Planning
New Firm Requirement to Designate a Super Account Administrator
Special Election to Fill a Small Firm Vacancy on the National Adjudicatory Council
INFORMATIONAL
Borrowing From and Lending to Customers
Effective date: November 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Borrowing From and Lending to Customers
Rule 2370
Executive Summary
On August 29, 2003, the Securities
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).
SUGGESTED ROUTING*
Senior Management Corporate Finance SyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In response to the NASD's request, the Securities and Exchange Commission (SEC) has adopted Rule 10b-21 to prohibit persons from purchasing securities out of a public offering to cover short sales executed after the
Exemptive relief is denied based on the following considerations: (1) this marks the second time in three years that Name made a political contribution without following the Firm’s established pre-clearance processes resulting in a prohibition of municipal securities business under the Rule;5 and (2) Name has an extremely high profile within the Firm and the state’s political and business community. -
