FINRA Amends Electronic Form NMA and Adopts New Electronic Form CMA Filing Requirements
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Operations
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 15 of the NASD® Rules of Fair Practice. The amendment permits NASD members to use negative-response letters in bulk exchanges of money market mutual
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 15, 1985
Enclosed herewith is a proposed amendment to Article III, Section 33 of the Rules of Fair Practice. This amendment has been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, the amendment must then be filed with, and approved
The purpose of this form is to make sure that you understand and acknowledge the rules of conduct you must follow in completing this session. You must read and agree to this before you will be permitted to start your session.
The following FAQ address general Entitlement questions. For detailed information, refer to the website specific to each user group...
GUIDANCE
Appeals of Qualification Examination Waiver Requests
Effective Date: September 1, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
National Adjudicatory Council
Qualifications Examinations
Rule 1070
Rule 9600 Series
Executive Summary
On July 27, 2004
Sec. 4.13 (a) The Board may, by resolution or resolutions adopted by a majority of the whole Board, appoint one or more committees. Except as herein provided, vacancies in membership of any committee shall be filled by the vote of a majority of the whole Board. The Board may designate one or more Directors as alternate members of any committee, who may replace any absent or
The SDP was designed to provide members of the uniformed services in designated combat zones an opportunity to build their financial savings.
No member organization may, without the prior written approval of the Exchange, form or acquire a subsidiary company. The member organization shall require such subsidiary to comply with the following provisions.
Supplementary Material: --------------
Information Regarding Subsidiary Companies of Member Organizations
.10 Definition of subsidiary
For purposes of this rule, the term "
