INFORMATIONAL
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal and Compliance
Operations Managers
Fees
NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
FINRA Requests Comment on Proposed Amendments to FINRA Rule 5110 Regarding Deferred Compensation Arrangements in Public Offerings
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
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
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
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
On September 5, 2000, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) a rule proposal that would require members to deliver to non-institutional customers a specified disclosure statement that discusses the operation of margin accounts and the risks associated with trading on margin. Members would be permitted to develop an alternative margin
