Displaying 7861 - 7870 of 9025 Results
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD is publishing the views of the Corporate Financing Committee on questions that members frequently ask when they are involved in offerings of securities to be conducted pursuant to SEC Rule 415
Rulemaking items discussed at the September Board meeting include: communications with the public, non-public arbitrator definition and sending arbitrator selection lists to parties.
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has fined TD Ameritrade Clearing, Inc. $1,150,000 and SG Americas Securities, Inc. $675,000 for failing to report or accurately report certain large options positions and for related supervisory deficiencies.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: APRIL 27, 1986
The National Association of Securities Dealers, Inc. (NASD), is publishing for comment by members and other interested persons proposed amendments to the NASD By-Laws and Code of Procedure that would establish procedures for extended hearings in disciplinary actions before the NASD. These amendments would
Attend this session to hear helpful tips on complying with FINRA Rule 2210, Communications with the Public when creating, reviewing, approving, distributing or using retail communications concerning private placement offerings. Join panelists as they share helpful tips in identifying red flags in third-party prepared materials, the use of forecasts of issuers operating metrics, and distribution rates. Panelists also explain the process for filing offering documents, including retail communications, with FINRA.
INFORMATIONAL
OTC Equity Securities
Effective Date: October 30, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Trading
NASD Rule 2315
OTC Equity Securities
Executive Summary
On August 22, 2002, the Securities and Exchange Commission (SEC) approved new NASD Rule 2315, Recommendations to Customers in OTC Equity Securities (Recommendation Rule
SUGGESTED ROUTING
Senior Management
Legal & Compliance
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of Securities Dealers, Inc. (NASD®) will be held on December 21, 1998. A notice of meeting, including the precise date, time, and location of the Annual Meeting, will follow on or about November 16, 1998
WASHINGTON — The Financial Industry Regulatory Authority (FINRA) announced today that it has barred former Morgan Stanley Smith Barney registered representative John Batista Bocchino for concealing approximately $190 million in Venezuelan bond trades from the firm, which had restricted such trading due to the regulatory, anti-money laundering and reputational risks it posed. Instead, Bocchino
Board Approves Rule Proposals and Previews Annual Financial Report
WASHINGTON – FINRA’s Board of Governors held its second meeting of 2018 on May 9-10 in New York, where it approved two new rule proposals and previewed a draft of the organization’s Annual Financial Report, which FINRA issues each year to provide transparency into its finances. The 2017 report will be published in June.
The