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TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 14, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Section 35 of the NASD Rules of Fair Practice. The amendments provide that advertisements concerning government securities are to be filed by members with the NASD's Advertising Department within 10 days of first use or
Washington, D.C. - The Financial Industry Regulatory Authority (FINRA) announced today that as part of its in-depth investigation of stock loan practices in the industry, it has imposed a fine of $1 million against Raymond James & Associates, Inc. of St. Petersburg, FL, and a fine of $400,000 against RBC Capital Markets Corporation of New York, for various stock loan improprieties.
Notice of Special Meeting of Large Firms and Proxy
SUGGESTED ROUTING
Senior Management
Advertising
Government Securities
Legal & Compliance
Executive Summary
On August 9, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 35 of the NASD® Rules of Fair Practice and Section 8 of the Government Securities Rules (collectively, the Rules) to broaden the definitions of, and revise the approval and
The SEC recently adopted changes to SEC Rule 144 that shorten the
holding period requirements for privately placed securities before they can
be sold into the secondary market, subject to the conditions of the rule,
and that may change industry conventions in the resale of privately placed
debt securities.
The nation's primary self-regulatory organizations for the securities industry - the Financial Industry Regulatory Authority (FINRA) and NYSE Regulation, Inc.- today announced an agreement with ten U.S. exchanges to strengthen investor protection by consolidating the surveillance, investigation and enforcement of insider trading in equity securities.
Washington, DC — The Financial Industry Regulatory Authority (FINRA) today warned investors about the potential pitfalls of using 401(k) debit cards to borrow money from their retirement funds. The introduction of the 401(k) debit card has made borrowing from a retirement savings account as easy as swiping and spending - a tempting convenience that can have significant repercussions on the card
Washington, DC - FINRA announced today that it has fined GunnAllen Financial, Inc., of Tampa, FL $750,000 for its role in a trade allocation scheme conducted by the firm's former head trader, as well as for various Anti-Money Laundering (AML), reporting, record-keeping and supervisory deficiencies.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On December 19, 1997, the Securities and Exchange Commission (SEC or Commission) approved various amendments to the Rules of the National Association of Securities Dealers, Inc. (NASD® or Association) and a