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Notice To Members 91-56
SUGGESTED ROUTING:* Senior ManagementCorporate FinanceLegal & ComplianceSyndicate*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC or "Commission") has approved amendments to Appendix F under Article III, Section 34 of the NASD Rules of Fair Practice regarding members'
Regulatory Notice 14-26
New Payments for Market Making Certification Requirement for FINRA Form 211
Web EFT Frequently Asked Questions
Web EFT Frequently Asked Questions
Notice To Members 91-3
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY On December 10, 1990, the NASD implemented a new feature for the Small Order Execution System (SOES) Limit-Order File — a matching service. Matching allows an opportunity for customer limit orders, priced
Notice To Members 90-75
SUGGESTED ROUTING* Senior ManagementInstitutionalLegal & Compliance OperationsSystemsTradingTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY On September 18, 1990, the Securities and Exchange Commission (SEC) approved an NASD proposal to require market makers in NASDAQ to display quotation size greater than or equal to the
Regulatory Notice 21-32
Summary FINRA requests comment on a proposed change to its current policy relating to the assignment of OTC symbols to unlisted equity securities. Specifically, FINRA is considering whether it should begin assigning OTC symbols to unlisted equity securities that do not have a valid CUSIP identifier, in the limited circumstance where a member firm demonstrates its best efforts to obtain a CUSIP
Regulatory Notice 13-13
SEC Approves Amendments to Rule 6440 Relating to Trading and Quotation Halts in OTC Equity Securities
Testimony Before the Subcommittee on Capital Markets, Insurance and Government Sponsored Enterprises Committee on Financial Services
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to testify regarding securities arbitration.
Notice to Members 05-18
GUIDANCE Private Placements of Tenants-in-Common Interests SUGGESTED ROUTING KEY TOPICS Corporate Finance Internal Audit Legal & Compliance Registered Representatives Retail Senior Management Broker-Dealer Registration Due Diligence Non-Conventional Investments Private Placements Real Estate Rule 2420 Suitability Executive Summary This Notice addresses Section 1031 tax-
Interpretive Letter to Amy Natterson Kroll, Bingham McCutchen LLP
Request for Interpretive Guidance Under NASD Rule 2711