TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, December 16, 1986, 26 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,709. These 26 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
FINRA Reminds Firms of Their Responsibilities Concerning IRA Rollovers
Guidance on Implementing Effective Heightened Supervisory Procedures for Associated Persons With a History of Past Misconduct
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of the Treasury (Treasury) is adopting final rule amendments to the Bank Secrecy Act (BSA) effective January 1, 1996. In two separate actions, Treasury is making changes that will facilitate tracing funds through the wire-transfer process. One rule
SR-FINRA-2009-001 - Proposed Rule Change to Amend FINRA Rule 7470
SEC Approves Amendments to Disseminate Additional Asset-Backed Securities Transactions and to Reduce the Reporting Time for Such Transactions
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 28, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
VOUT.GB
Universal Outdoor Inc
9.750
10/15/06
GGSY.GA
Gross Graphic System Inc
12.000
10/15/06
AGY.GA
Argosy Gaming Co
I should be able to choose any investment I would like without any special tests or testing. Investing in cryptocurrencies is a very important aspect in the diversification of my investment portfolio.
NASD has filed with the SEC a proposed rule change to amend NASD Rule 3010(a)(7) to require that registered principals, in addition to registered representatives, attend an annual compliance meeting. NASD also is proposing a technical amendment to Rule 3010(a) to clarify that each member is required to establish and maintain a system to supervise the activities of each registered
REQUEST FOR COMMENTFairness Opinions Issued by MembersComment Period Expires: January 10, 2005Note: The comment period was extended to February 1, 2005.SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementFairness OpinionsInvestment Banks Mergers and AcquisitionsProxy StatementsExecutive SummaryNASD is requesting comment on whether it should propose a new rule
