NASD Regulation Department of Enforcement will not, unless directed otherwise, institute enforcement action against NASD member firms that send group e-mails to two or more existing or prospective customers that qualify as "institutional accounts" under Rule 3110(c)(4) or existing customers that qualify as "qualified purchasers" under Section 3(c)(7) of the Investment Company Act of 1940 without securing prior approval by a registered principal of those communications, subject to the condition that the firms supervise and review the group e-mails in accordance with the standards of Rule 3010(d).
FINRA Announces Election Results for District Committees, District Nominating Committees
Application of NASD Rule 2330(f) to Proposed Profit Sharing Arrangement.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to add new NASD Rule 3380 to prohibit members and associated persons from splitting any order into multiple smaller orders for execution or any execution into multiple smaller executions for transaction reporting for the primary purpose of maximizing a monetary or in-kind
Regulatory Notice
Notice Type
Guidance
Key Topic(s)
Form U4
Registration
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Registration
Senior Management
FINRA Registration via Form U4
Executive Summary
FINRA reminds member firms that when an associated person of a member is registered with another SRO in a registration category recognized by FINRA, the member
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration/Mediation
Dispute Resolution
Executive Summary
NASD Dispute Resolution, Inc. (NASD DR) recently established Orlando as the third hearing location within the State of Florida. Boca Raton and Tampa will continue as hearing locations in Florida.
The
Proposed Rule Change to Adopt FINRA Rule 3160 (Networking Arrangements Between Members and Financial Institutions) in the Consolidated FINRA Rulebook
Proposed Rule Change to Provide Additional Relief Relating to Certain FINRA/Nasdaq Trade Reporting Facility and OTC Reporting Facility Fees
June 29, 2001
Below is a list of fields and accepted values that are reported to OATS on the New Order Reports. Please compare the accepted values listed for the fields below with your traders and technical staff to verify that your procedures and systems comply with the information provided below.
Received Method Codes
Indicate whether the order was received electronically or non-
Proposed Rule Change to Adopt FINRA Rule 2232 (Customer Confirmations) in the Consolidated FINRA Rulebook
