Reporting of Information Relating to OTC Trades in NMS Stocks
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.
INFORMATIONAL
Minor Violations Of Rules And Late Fees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Minor Rule Violation Plan
Schedule A of the NASD By-Laws
Executive Summary
On July 3, 2001, the Securities and Exchange Commission (SEC) approved rule changes proposed by the National Association of Securities Dealers, Inc. (NASD®) that
NASD would like to remind members of their obligation to file the appropriate FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports by their due dates.
FINRA Announces Amendments to Make Permanent the Pilot Program Increasing Positions and Exercise Limits for Stock Options; Effective Date: February 28, 2008
FINRA Secures Relief for Member Firms for Certain Record Retention Requirements; Effective Date: February 19, 2008
Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official (as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
Notice of Annual Meeting of FINRA Firms and Proxy
SEC Approves Amendments to Codes of Arbitration Procedure to Require Redaction of Personal Confidential Information from Documents Filed With FINRA Dispute Resolution
FINRA Issues an Interpretation to Clarify the Classification and Trade Reporting of Certain “Hybrid” Securities to FINRA
