GUIDANCE
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Registered Representatives
Senior Management
Trading
NASDAQ Exchange Market Makers
Riskless Principal
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to supplement guidance provided in
NASD Notice to Members (NTM) 06-44 relating to the application
of the Trading
GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Institutional Customers
Legal & Compliance
Operations
Senior Management
Clearing Firms
Customer Account Statements
DVP/RVP (Delivery versus Payment/
Receive versus Payment)
NASD Rule 2340
NASD Rule 3110
NASD Rule 11860
SEC Rule 10b-10
SEC Rule 15c3-2
SEC Rule 17a-4
Executive Summary
The Securities
Executive Summary
The annual meeting of FINRA firms will take place on or about Tuesday, August 22, 2017, to elect one Small Firm Governor, and one Large Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about July 21, 2017.
Eligible individuals who have
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
FINRA Extends Implementation of Amendments Requiring Related Market Center Indicator in Non-Tape Reports Submitted to FINRA
FINRA Announces Modifications Regarding Historic TRACE Data
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).
FINRA Announces Nomination Process to Fill an Upcoming Vacancy on the National Adjudicatory Council
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (
