The Municipal Continuing Disclosure Report displays statistics about transactions that your firm effected with customers. The report provides relevant information about the availability of official statements, annual financial filings, and event filings on the MSRB's Electronic Municipal Market Access system (EMMA) at the time the securities were sold or purchased. Specifically, the report
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
Last Voting Date: August 29, 1994
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws to prepare for a planned new numbering scheme for the NASD Manual; to correct certain minor errors found in the By-Laws; and to provide for Board approval of future spelling and numbering changes. The
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
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 4, 1985, 23 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,998. These issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Dispute Resolution;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange
The following are former funding portal members of FINRA.Amplify Funding, LLCSEC File No.: 7-222330 E Liberty StAnn Arbor, MI 48104Avonto, LLCSEC File No.: 7-802435 E. North Street, Ste. 1108-178Greenville, SC 29615Bananafina LLC.SEC File No.: 7-2351065 NE 125th Street, Suite 300North Miami, FL 33161BaseNote LLCSEC File No.: 7-315340 S Lemon Avenue, #9290Walnut, CA 91789Bioverge Portal, LLCSEC
(a) Notification
(1) Each carrying or clearing member shall promptly, but in any event within 24 hours, notify FINRA in writing if its net capital falls below the following percentages:
(A) the member's net capital is less than 150 percent of its minimum dollar net capital requirement or such greater percentage thereof as may from time to time be designated by FINRA;
(B) the member is
