SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
Executive Summary
The NASD® reminds members that registered persons who do not satisfy their Regulatory Element computer-based training requirement within the 120-calendar-day period beginning on the second, fifth, or tenth anniversary of their initial securities registration or of the date of a serious
(a) Scope of Review
Except as otherwise set forth in this paragraph, the National Adjudicatory Council's review shall be limited to consideration of:
(1)
the record, as defined in Rule 9267, supplemented by briefs and other papers submitted to the Subcommittee or, if applicable, the Extended Proceeding Committee, and the National Adjudicatory Council; and
(2)
any oral argument
The National Adjudicatory Council (NAC) Revises the Sanction Guidelines Related to Misrepresentations and Suitability
NASD Informs Members Of Upcoming Nomination Procedures For Industry Member Vacancies On The National Adjudicatory Council
Suggested Routing
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
For Your Information
National Association of Securities Dealers, Inc.
January 1989
Toll-Free Numbers for New York NASDAQ Operations Center Take Effect Soon
With the opening of business on January 9, 1989, the New York NASDAQ Operations Center may be reached via toll-free 800 service from all locations.
Effective January 9, 1989, the new numbers are:
For SOES operations information (e.g.,
Establish Regulations on Crypto with a new Standard (not old Howey Test) based on utility and on if they had used an ICO or not! Then once President has been established guidelines and legal actions can be taken. The legal issue taking up with XRP is not just! There is no set standard and to start legal action after 8 years is ridiculous. XRP Never had an ICO, they have all kinds of utility. Each
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On October 10, 1991, the Securities and Exchange Commission (SEC) unanimously approved four changes to the Small Order Execution System (SOES) operated by NASD Market Services, Inc. for Nasdaq securities.
Firms could be vulnerable to a newly discovered social engineering scheme in which bad actors trick customer support personnel into downloading and executing malware. This Alert describes the scheme and provides recommendations to help firms protect themselves from the threat.
Summary
FINRA has amended its Codes of Arbitration Procedure for Customer and Industry Disputes (Codes) to apply minimum fees to requests for expungement of customer dispute information, whether the request is made as part of the customer arbitration or the associated person files an expungement request in a separate arbitration (straight-in request).1 The amendments also apply a minimum process
Rule 3070
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Rule 3070
Reporting Requirements
Executive Summary
On March 3, 2003, the Securities and Exchange Commission (SEC) approved SR-NASD-2002-112, a proposal to amend NASD Rule 3070 to require members promptly to file with NASD copies of
