INFORMATIONAL
Margin Disclosure Statement
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As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange
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.
Application for exemptive relief from trade reporting obligation for certain teransactions on an Alternative Trading System
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") this proposed rule change to amend Rules 4632E and 6130E relating to the NASD/NYSE Trade Reporting Facility (the "NASD/NYSE TRF") to change the system closing time from 6:30 p.m. to 8:00 p.m. (Eastern Time), which conforms with the system closing time of the NASD/Nasdaq Trade Reporting
SEC Approves New Requirements for Alternative Trading Systems
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments to the definitions of "Bona Fide Independent Market" and "Bona Fide Independent Market Maker" in Rule 2720 of the NASD's Conduct Rules (Rule) (formerly Schedule E to the NASD's By-Laws). The approved amendments revise the definitions to determine eligibility for an exception from
Monthly Disciplinary Actions December 2019
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Membership Application Program (“MAP”) rules to help further address the issue of pending arbitration claims, as well as arbitration awards and settlement agreements related to arbitrations that have not been paid in full in
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Executive Summary
Members are advised that the National Association of Securities Dealers, Inc. (NASD®) has filed a proposed rule change to its Membership and Registration Rule 1120 (
