Notices Subject Index – S

A  B  C  D  E  F  G  H  I  J  K  L  M  N  O  P  Q  R  S  T  U  V  W  Y 

Safe Harbor

Business Expansions; 13-29; 10-01; 06-56

Sales Contests 05-40

Sales Literature

09-10

Sales Practices

Bonds and Bond Funds; 07-43; 04-30
Deferred Variable Annuities; 09-32; 07-5304-45

Senior Investors; 07-43

Violations; 09-23

Sanction Guidelines

Censure Policy; 99-91; 99-59

Expedited Proceedings; 10-13

Minor Rule Violation Plan (MRVP) Guidelines; 04-19

Misprint; FYI, June 1998; FYI, March 1999

Monetary Sanctions; 99-86

New Guidelines; 11-07; 06-10; 05-17

Revisions; 11-13; 11-0706-55; 06-10; 04-17; 03-65; 01-27; 98-39

Sarbanes-Oxley Act of 2002

09-19; IN 1/8/09; 03-44

Schedule A to NASD By-Laws (see By-Laws)
Schedule 1 (see FOCUS Reporting)

Section 31 Fee

IN 5/1/13; IN 11/26/12IN 2/3/12IN 1/6/11IN 12/14/10IN 10/8/10; IN 3/10/10; IN 10/2/09; IN 3/10/08; IN 1/8/08IN 10/5/07

Securities

Callable in Part; 08-21

Debt Securities; 02-76; 02-33
Exempted Securities; 01-63

Government; 13-07

Offerings; 12-1908-74

Restricted; 08-42

Unregistered Secondary; 12-19

Securities and Exchange Commission (SEC)

EDGAR Documents; FYI, April 1999
Transaction Fees; 97-62; 96-81

Securities Callable in Part

08-21

Securities Exchange Act of 1934 (SEA) and/or Securities Act of 1933 Rules

Regulation Analyst Certification; 06-36

Regulation D; 13-26; 12-4011-04; 10-22; 09-27; 07-27

Regulation M (Rules 101 to 105); 12-19; 08-74; 97-10

Regulation SHO; 08-50; 07-58; 07-45; 06-18; 05-33

Regulation S-P; 07-36; 00-66
Rule 3a1-1; 99-34

Rule 3a51-1; 08-54
Rule 3b-16; 99-34

Rule 9b-1; IN 8/26/08
Rule 10b-10; 08-52; 07-65; 07-58; 06-68

Rule 11Ac1-1; 97-67
Rule 11Ac1-4; 99-99; FYI, December 1996
Rule 11Ac1-5; 01-44; 01-16
Rule 11Ac1-6; 01-44; 01-32; 01-30
Rule 15c2-4; 98-04

Rule 15c2-11 06-27; 06-23; 05-60; 05-41; 99-58; FYI, April 1999; 97-83
Rule 15c3-1 (Net Capital Rule); 08-66; 08-65; 08-60; 08-46; 08-23; 07-53; 07-16; 05-47; 05-45; 04-75; 03-67; 03-63; 02-32; 02-04; 01-53; 01-52; 98-19; FYI, June 1997
Rule 15c3-2; 06-68

Rule 15c3-3 (Customer Protection Rule); 10-4508-76; 08-53; 08-38; 08-32; 08-23; IN 12/21/07; 07-60; 07-58; 07-53; 07-16; 06-6206-30; 05-60; 05-47; 00-45; 99-102

Rule 17a; IN 1/8/09; 08-56

Rule 17a-3; 08-25; 03-63; 01-80; 97-43; FYI, February 1997
Rule 17a-4; 08-25; IN 2/21/08; 06-6803-63; FYI, April 2003; 01-80; 97-43; FYI, February 1997
Rule 17a-5 (Reports to Be Made by Certain Brokers and Dealers); 07-16; 03-63; 98-34

Rule 19d-1(c)(2); 07-51

Rule 31; 07-44

Rule 144; 08-75; 08-42; 07-45
Rule 419; 08-54

Rule 504; 00-12

Rule 611; 07-39; 07-23
Section 11; 08-54

Section 15; 08-66
Section 31; IN 10/2/09; 08-72; 08-51; IN 11/3/08; IN 3/10/08; IN 1/8/08; 07-63; IN 10/5/07; 07-44; 05-11; 04-63

Securitized Products

TRACE; 11-20; TRN 5/10/11;

Security

Cyber Security; IN 2/29/12

Information Technology; IN 2/29/12

Security Futures

12-41; 09-33; 08-78; 06-63

Alternative Trading Systems; 03-16
Rules; 02-73

Security Futures Risk Disclosure Statement; IN 9/7/10

Selling Agreements

10-10

SelectNet

Customer Access; 98-66
NASDAQ National Market Execution System (NNMS); 00-30
Selling Away; 03-65

Senior Registered Options Principal

08-28

Senior Investors

11-5207-43

Service Fees and Charges

13-0711-08

Settlement

TRN 8/1/2013; 08-50

Agreements; 04-44

Holiday Settlement Dates; IN 12/23/13
Holiday Extension Dates; IN 12/23/13

 

SFAB

(see Small Firm Advisory Board (SFAB))

Shelf Offerings

08-74; 01-59

Short Exempt Marking Requirements 07-31

Short Interest Reporting

12-38; 11-5508-13; IN 12/20/07; 07-24; 06-20; 06-1405-63; 06-20; 06-18

FYI, December 2004FYI, December 2003; 03-08

Short Sales

12-38; 08-50; 08-38; 07-45; 07-31; 06-57; 06-5306-2806-20; 06-1805-6305-33

Affirmative Determinations; 04-52; 04-21; 04-08; 04-03; 99-98
Definition; 97-74
Delivery Requirements; 10-35; 07-45

"Hard to Borrow" list; 00-28
Short Interest Reporting; 04-54; 04-40; 03-08
Short-Sale Rule, Compliance with; 99-98; 99-28; 98-65; 97-15

Single-Stock Circuit Breaker

11-37

SIPA (Securities Investor Protection Act) 07-29; 06-60

SIPC (Securities Investor Protection Corporation)

10-03; 09-33; 07-29; 06-60

Small Business Administration Pool Transactions

TRN 12/21/11

Small Firms

02-44

Small Firm Advisory Board (SFAB)

Election; EN 12/17/2013EN 11/25/2013EN 10/16/2013; EN 9/4/2013 EN 12/6/12EN 10/17/12; EN 9/5/12EN 11/29/11EN 10/19/11EN 9/7/11EN 9/3/10EN 12/18/09; EN 11/21/08; EN 12/14/07; EN 11/1/07; EN 10/10/08; EN 12/14/07; EN 11/1/07

Small Order Execution System (SOES)

Customer Access; 98-66
Elimination Of Five-Minute Presumption; 99-21
Market Maker Withdrawals and Reinstatements; 98-06
NASDAQ National Market Execution System (NNMS); 00-30
Order-Size Changes; 99-104; 99-80; 99-46; 99-22; 98-103; 98-76
Tier-Size Changes; 98-44; 98-29; 97-90; 97-61; 97-45; 97-38; 97-17; 96-88

Social Networking Web Sites

11-3910-06

SOES (see Small Order Execution System)

solicitation

12-49

Soliciting Business Internationally

11-34

Special Purpose Acquisition Companies

08-54

Specified Pool Transactions

13-24; 12-56

Spinning

13-43; 12-2411-2910-60; 02-55

Standardized Application Form 07-20; 06-16

Standardized Options

10-36

Characteristics and Risk; 06-54

Standards

Just and Equitable Principles of Trade; 08-66

Statement of Accounts 07-65; 07-35

Statutory Disqualification

13-27; 09-23; 09-19; 07-55; 05-1203-42

Step-Outs 07-38
Stock Borrow Deficits 05-45

Stock Splits

Company-Related Actions; 11-09

Stock Volatility

99-11

Stop Stock Transactions

10-29;

Structured Products

10-09; 09-73; 08-81; 05-59

Structured Securities 05-59
Subordinated Loans 04-75

Subordination Agreements

Disclosure Document; 04-75

Forms; 10-15

Requirements; 10-15

Review and Approval of; 01-53
Subordinated Loans; 02-32; 02-04

Subpoenas

Code of Arbitration Procedure; 13-0407-13

Suitability

Clarification; FYI, March 1997

Complex Products; 12-25; 12-03

Consolidated Rulebook (FINRA); 11-02; 09-25

Deferred Variable Annuities; 09-32; 07-53

Effective Practices; 13-31

Exchange-Traded Funds; 09-31

Hedge Funds; 03-07

Individual Retirement Accounts; 13-45
Life Settlements; 06-38

Municipal Securities; 10-4109-35

New Products; 05-26

Non-Conventional Investments; 03-71

Principal-Protected Notes; 09-73

Private Placements; 10-22

Recommendation; 12-25

Reverse Convertibles; 10-09

Senior Investors; 07-43
Suitability Rule; 11-02; 01-23
Tenants-in-Common Interests; 05-18

Unlisted Securities; 09-37

Variable Annuities; 04-45

Variable Contracts; 09-42; 96-86

Suitability Rule

12-5511-25

Super Account Administrator

IN 3/24/10

SuperMontage

02-71

SuperSoes

Implementation Delay; FYI, August 2000
Introduction; 00-30

Supervision

13-45; 12-5512-0311-5209-22; 08-28; 08-27; 08-24; 08-18

Branch Office Definition; 11-54; 06-12; 05-67

Compliance Guidelines; 05-51; 05-50; 05-48; 04-79; 04-66; 03-29; 00-50; 99-45; 98-38

Consolidated Financial Account Reports; 10-19
Continuing Education; 00-35

Deferred Variable Annuities; 09-32; 07-53
Electronic Communications; 07-59; 07-30; 03-33;

Exchange-Traded Funds; 09-31

Hedge Funds; 03-07
Heightened Supervision; 03-49
Investment Banking; 09-41

Market Letters; 09-10

Market-Making Activities; 98-96

Municipal Securities; 10-4109-35

Outsourcing; 11-14

Private Placements; 10-22

Promissory Notes; 01-79
Qualification; 08-02

Registered Representatives; 08-27; 07-36; 07-06

Research Analysts and Research Reports; 08-16; 08-15; 07-64; 05-24; 05-14; 05-13; 04-81

Reverse Convertibles; 10-09

Rule Amendments; 07-12

Rules Governing Correspondence; 96-82
Pandemic Regulatory Relief; 06-31

Registered Representatives; 08-55

Research Analysts and Research Reports; 07-64; 06-36

Rule Amendments; 07-12

Social Networking Websites; 11-39; 10-06

Supervisory Controls; 10-19; 08-24; 06-04; 05-75; 05-29; 05-08; 04-71

Sweep Report Recommendations; 97-19
Tape Recording Telephone Conversations; 01-38; 98-52
Trade Reporting; 04-95; 98-96
Unregistered Persons; 00-50

Variable Insurance Products; 08-39; 06-38; 04-4500-44; 99-35

Supervisors, Acceptability of

08-64

Suspicious Activity Reporting Rule

12-0802-47

Sweep Report

Recommendations; 97-19

Syndicate Short Position

Requirements; 97-80

Symbol Change

09-37

Systems 05-47