Under Rule 2710, a broker/dealer may pay finder's fees to a joint venture for the referral of issuers that are potential corporate finance clients. If the joint venture is not required to be registered as a broker/dealer, such payments would not violate Rule 2420.
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On March 29, 1994, the Securities and Exchange Commission (SEC) approved amendments to Article II, Sections 10 and 11 of the Code of Procedure that allow the National Business Conduct Committee (NBCC) to designate a Subcommittee composed of members of the NBCC to review Letters of Acceptance, Waiver, and
SUGGESTED ROUTING
Legal & ComplianceSystems
Executive Summary
On March 14, 1994, the Securities and Exchange Commission (SEC) approved an amendment to Section 4 of the OTC Bulletin Board (OTCBB®) rules that requires OTCBB market makers to indicate, by a fifth-character geographic indicator appended to their market-maker identifier (MMID), that the firm's trading desk for a
INFORMATIONAL
NASD Board Of Governors Nominees
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
NASD Board Of Governors
National Association of Securities Dealers, Inc. Notice Of Nominees
The Annual Meeting of members of the National Association of
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of April 21, 1992, the following 65 issues joined the Nasdaq National Market bringing the total number of issues to 2,819:
Symbol
Company
Entry Date
SOES Execution Level
CBSA
Coastal Bane Savings Association
3/25/92
1000
COLL
Collins
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On December 16, 1991, the SEC approved an NASD rule change to Article III, Section 3 of the NASD By-Laws that changes who is eligible for designation as the NASD member's executive representative. The executive
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of August 23, 1991, the following 53 issues joined Nasdaq/NMS, bringing the total number of issues to 2,605:
Symbol
Company
Entry Date
SOES Execution Level
VRTX
Vertex Pharmaceuticals Incorporated
7/24/91
1000
CATH
Catherines Stores
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of November 13, 1989, the following 19 issues joined the NASDAQ National Market, bringing the total number of issues to 2,712
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 18, 1986, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,658. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
