Update to Security Futures Risk Disclosure Statement and Supplement
TO: All NASD Members and Other Interested Persons
ATTN: Direct Participation Programs Department
EXECUTIVE SUMMARY
This notice announces the adoption of exemptions from the special suitability and disclosure requirements of Appendix F to Article III, Section 34 of the NASD Rules of Fair Practice for freely tradable limited partnerships. The exemptions relate to primary and secondary public
On September 7, 2007, the SEC approved new NASD Rule 2821 regarding broker-dealers' compliance and supervisory responsibilities for deferred variable annuities.1 The rule text is set forth in Attachment A and is effective May 5, 2008.
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
FINRA is publishing its quarterly OTC Equities High Price Dissemination List for the fourth quarter of 2024. This updated list of OTC equity securities eligible for trade report dissemination for trades of fewer than 100 shares is effective as of April 11, 2025. To view changes, visit the Daily List: Security Attribute Changes page, select the “Unit of Trades” filter and enter April 10,
INFORMATIONALAmendments to the Corporate Financing RuleEffective Date: March 22, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementBridge LoansCompensation LimitationsDerivativesInvestment BankingRule 2710Rule 2810Venture CapitalExecutive SummaryOn December 23, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 2710 (Corporate
July 24, 2023During this session, FINRA staff discuss the recent MOVEit vulnerabilities that impacted several FINRA member firms, how FINRA responded, and practices that firms may find useful in mitigating the risks posed by ransomware. This webinar also includes a discussion on the CAU in more detail and what types of intelligence you can expect from FINRA moving forward.Speakers:Brita
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceOperationsTrading
Executive Summary
On September 20, 1994, the Securities and Exchange Commission approved a proposed rule change by the NASD that amends the listing requirements in Parts II and III of Schedule D to the NASD By-Laws to impose specific delisting requirements for units listed on the Nasdaq National Market® and The
In June 2007, FINRA (then NASD and NYSE Member Regulation)1 issued for comment proposed guidance regarding the review and supervision of electronic communications. FINRA received 16 comment letters, with a majority of commenters supporting the guidance.
SUGGESTED ROUTINGSenior ManagementAdvertisingContinuing EducationCorporate FinanceExecutive RepresentativesGovernment SecuritiesInstitutionalInsuranceInternal AuditLegal & ComplianceMunicipal Mutual FundOperationsOptionsRegistered RepresentativesRegistrationResearchSyndicateSystemsTradingTrainingVariable Contracts BackgroundThe National Association of Securities Dealers
