NASD Regulation, Inc., has filed with the SEC a proposed rule change to make certain amendments to the NASD Regulation By-Laws in order to change the term of office of members of the National Adjudicatory Council from two years, with the opportunity to serve no more than two consecutive terms, to a single three-year term.
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Executive Summary
The Office of the
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 2790 to expand the exemption for securities that are directed by the issuer to include offerings sold entirely on a non-underwritten basis, where no broker-dealer solicits or sells any new issue securities in the offering, and where no broker-dealer has
Proposed Rule Change to Adopt NASD Rule 2830 as FINRA Rule 2341 (Investment Company Securities) in the Consolidated FINRA Rulebook
Executive Summary
Release 2.0 is the new, improved version of the Training Analysis and Planning Tool designed to help NASD® members comply with the Firm Element of the securities industry Continuing Education Program. The Firm Element applies to registered persons or their supervisors who deal directly with customers in conducting sales, trading, and investment banking activities for member
NASD has filed with the Securities and Exchange Commission ("Commission") a proposed rule change to Rule 6530 to limit the eligibility for quotation on the OTCBB of the securities of an issuer that is repeatedly late in filing required periodic reports.
NASDR has filed with the SEC a proposed rule change to Rule 2210 of the Conduct Rules of the National Association of Securities Dealers, Inc. to exclude independently-prepared research reports from the filing requirements of Rule 2210.
INFORMATIONAL
NYSE Series 7 Examination
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The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The New York Stock Exchange,
FINRA publishes this quarterly review to provide firms with a sampling of recent disciplinary actions involving misconduct by registered representatives. The sample includes settled matters and decisions in litigated cases (National Adjudicatory Council decisions and decisions of the SEC in FINRA cases).
NASDR has filed with the SEC a proposed rule change to amend Rule 3020 of the National Association of Securities Dealers, Inc. to grant to the staff authority to adjust the fidelity bond required of a member in certain circumstances upon a showing of good cause, either conditionally or unconditionally.
