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FINRA may grant waivers, in exceptional cases, or exemptions for
SEC Approves New Rules and Rule Amendments Concerning Supervision and Supervisory Controls; Effective Date: January 31, 2005
FINRA Announces Electronic Filing Process For Qualification Examination Waiver Requests and Series 16 Experience Acceptability Requests
Welcome, it’s great to see all of you here this morning. We have a great program for you today.
ATS Supervision Obligations
Regulatory Notice
Notice Type
Guidance
Referenced Rules & Notices
FINRA Rule 2020
FINRA Rule 3110
FINRA Rule 4370
FINRA Rule 5210
FINRA Rule 6190
FINRA Rule 6191
Regulatory Notice 14-10
Regulatory Notice 17-22
SEA Rule 15c3-5
Neutral Corner - April 2007
SUGGESTED ROUTING*
Senior Management
Institutional
Legal & Compliance
Research
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed amendment to Article III,
Mr. Chairman and Members of the Committee: NASD is grateful to the Committee for inviting us to testify about NASD's work to protect senior investors and for allowing us to submit this statement for the record.
GUIDANCE
Automated Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Finance
Legal & Compliance
Operations
Senior Management
Away from the Market Sales
Odd-Lot Transactions
OTC Options
Regulatory Transaction Fee
Section 3 of Schedule A to
NASD By-Laws
Transaction Reporting
Executive Summary
On June 12, 2006, the Securities and Exchange Commission (SEC)
approved SR-NASD
ACTION REQUIRED
Research Analysts and Research Reports
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Operations
Research Reports
Qualification and Registration
Continuing Education Requirements
Advertising
Investment Banking
Executive Summary
On July 29, 2003
