Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to
(a) For each security in which an ADF Trading Center displays a bid and offer (for Registered Reporting ADF Market Makers), or a bid or offer (for Registered Reporting ADF ECNs), in the ADF, it must:
(1) Provide other ADF Trading Centers direct electronic access, as defined below;
(2) Provide registered broker-dealers that are not ADF Trading Centers direct electronic access and allow for
Summary
FINRA is publishing this Notice to assist firms with making accurate submissions in connection with requests for Federal Reserve Board Regulation T, SEA Rule 15c3-3 and FINRA Rule 4210 extensions of time around holidays when exchanges or banks are closed. The schedule included in this Notice specifies the due dates for filing requests of extensions of time prior to and after a holiday
(a) Initiation of Review by Applicant
Within 25 days after service of a decision under Rule 1014 or 1017, an Applicant may file a written request for review with the National Adjudicatory Council. A request for review shall state with specificity why the Applicant believes that the Department's decision is inconsistent with the membership standards set forth in Rule 1014, or otherwise
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Help Us Help YouExplore current compliance resources below and submit your ideas for new ones.Give Us Your FeedbackOur compliance tools and resources come in many forms, including templates, checklists and guides. These optional tools may assist member firms with:Fulfilling their regulatory obligations;Implementing written supervisory
INFORMATIONAL
Margin Requirements
Effective Date: August 21, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Legal & Compliance
Operations
Options
Systems
Margin
NASD Rule 2520
Options
Executive Summary
On May 30, 2000, the
The information provided on this page is for candidates who have elected to take their exam(s) at a local Prometric test center.
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual FundRegistration
Executive Summary
On January 18, 1993, the NASD's Board amended its Public Disclosure Program to make additional regulatory information on its members and associated persons available to the public. The Board's action will expand this program to include civil judgments and NASD arbitration
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of September 13, 1990, the following 17 issues joined NASDAQ/NMS, bringing the total number of issues to 2,640:
Symbol
SEC Approval and Effective Date for New Consolidated FINRA Rules
