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Notice To Members 93-61
Last Voting Date: October 29, 1993 SUGGESTED ROUTING Senior ManagementLegal & ComplianceOperationsTrading Executive Summary The NASD invites members to vote on a proposed new section to the Rules of Fair Practice that would require a member holding an open order to adjust the order by the amount of any dividend, payment, or distribution on the day that the security is quoted
Notice To Members 93-33
SUGGESTED ROUTING Senior ManagementLegal & ComplianceTrading Executive Summary The cornerstone of the NASD's self-regulatory process is the nationwide committee system of securities industry representatives that conducts peer reviews, takes disciplinary action where appropriate, and imposes remedial sanctions when federal securities laws or NASD® rules and regulation
Monthly Disciplinary Actions December 2000
Notice To Members 91-8
SUGGESTED ROUTING:* Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm. The NASD published the following Notices to Members during 1990. Duplicate copies are available at $25 per monthly or
Notice To Members 89-26
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsTrading *These are suggested departments only. Others may be appropriate for your firm. SEC REQUEST FOR COMMENTS EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) has proposed Rule 15c2-6 to address fraudulent, deceptive, or manipulative acts and practices used in connection with high-pressure telephone
Notice To Members 88-93
SUGGESTED ROUTING* Senior ManagementInstitutionalInternet AuditLegal & ComplianceOperationsTradingTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY NASD members are advised that the Securities and Exchange Commission (SEC) has approved an amendment to the NASD Board of Governors' "Free-Riding and Withholding"
Regulatory Notice 24-02
FINRA is issuing this Notice to announce the effective dates of two new supplementary materials under FINRA Rule 3110 (Supervision).
Monthly Disciplinary Actions January 2016
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Getting to Know the Servicemembers Civil Relief Act (SCRA)
SCRA offers a variety of provisions to help active duty personnel meet their legal and financial obligations. But relief under the SCRA is not always automatic.
Notice To Members 94-37
SUGGESTED ROUTING Senior ManagementInstitutionalLegal & ComplianceMunicipalSyndicateTraining Executive Summary Effective March 9, 1994, the Securities and Exchange Commission (SEC) published an interpretive statement regarding the disclosure obligations of participants in the municipal securities markets. The SEC is seeking comment on the issues discussed in its statement. In a