(a) Recovery of cost of services. FINRA shall, in accordance with this section, collect member regulatory fees that are designed to recover the costs to FINRA of the supervision and regulation of members, including performing examinations, financial monitoring, and policy, rulemaking, interpretive, and enforcement activities. FINRA shall periodically review these revenues in conjunction with
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Appendix F under Article III, Section 34
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Operations
Trading
Training
Executive Summary
On December 7, 1994, in SEC Release No. 34-35059, File No. SR-NASD-94-15, the Securities and Exchange Commission (SEC) approved amendments to the NASD Free-Riding and Withholding Interpretation (Interpretation), an Interpretation of the Board of
If you are thinking about rolling over money from your Thrift Savings Plan (TSP) into an IRA, take some time to consider your options—one of which is to stay put in the TSP, or even transfer money from another retirement account into your TSP.
Year 2000 Tips For Members Will Your Fax Machine Work?
As the millennium approaches, one of the areas all businesses should assess for Year 2000 readiness is their internal office equipment. Last month, Notices to Members provided information on how to check a PC (personal computer), and this month's tip for members involves preparing your fax machine for 2000. Firms should first contact
Summary
FINRA is conducting a retrospective review to assess the effectiveness and efficiency of its rules and administrative processes that help protect senior investors from financial exploitation. The protection of senior investors is a top priority for FINRA. As such, FINRA is interested in whether additional tools, guidance or changes to FINRA rules or administrative processes are
Good afternoon and thank you for inviting me to spend some time with you discussing complex products. I'm sure you know that this has been a priority for FINRA examiners. I would like to share some of what we have learned so far.
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD® is publishing the results of a recent study of underwriting compensation received in the distribution of public corporate equity offerings. The NASD analyzed the amount of actual
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
TO: All NASD Members and Other Interested Persons
ATTN: Operations Principal, Cashier
EXECUTIVE SUMMARY
Last Date for Comments: October 1, 1986.
The NASD Board of Governors is circulating for comment a proposed amendment to Section 64 of the Uniform Practice Code, Acceptance and Settlement of COD Orders. The amendment would eliminate the exemption in subparagraph (a)(5)(ii), which provides that
