Displaying 8371 - 8380 of 9026 Results
SEC Approves a Proposed Rule Change Relating to Representation of Parties in Arbitration and Mediation
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD Rule 2860NTM 06-46NTM 06-09NTM 05-56NTM 05-31
Suggested RoutingComplianceInstitutionalLegalOptionsSenior ManagementTradingTraining
Key Topic(s)Exercise LimitsOptionsPosition Limits
Options Position and Exercise Limits
Executive Summary
SEC amendments to NASD Rule 2860 extend until March 1, 2008, a pilot program
Comment Period Expires: April 30, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD®Rule 3121 that would govern a member's use and release of customer confidential
WASHINGTON - A Financial Industry Regulatory Authority (FINRA) hearing panel has permanently barred a former Deutsche Bank broker from the securities industry for manipulating the price of Monogram Biosciences (MGRM) stock in an effort to enrich a hedge fund client, himself and his family.
SEC Approves Amendments to Require Firms to Identify Transactions with Non-Member Affiliates in TRACE Trade Reports
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Registration
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENT
EXECUTIVE SUMMARY
The NASD requests comment on proposed amendments to Article IV, Section 3 of the NASD By-Laws
On This Page:
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(7)
Checklist for Mandatory Materiality Consultations Under Rule 1017(a)(6)
A member must submit a letter requesting a materiality consultation for specified changes in ownership, control, or business operations, including business expansions
The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). For the purpose of this inquiry, the term “ATS” means an ATS operated by the Firm and/or any affiliate of the Firm that is utilized to route orders or other messages into or out of the ATS.
TO: All NASD Members
ATTN: Compliance and Registration Personnel
Effective July 1, 1985, the revised Form U-4 (Uniform Application for Securities Industry Registration or Transfer) and Form U-5 (Uniform Termination Notice for Securities Industry Registration) will be used to register and terminate individuals with the NASD through the Central Registration Depository (CRD). The revised forms are
2018 Holiday Trade Date, Settlement Date and Margin Extensions Schedule