FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
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EXECUTIVE SUMMARY
On April 17, 1991, the Department of Treasury issued 56 FR 15529-15532 containing proposed amendments to 17 CFR Part 403 ("Protection of Customer Securities and Balances"). The proposal would implement a buy-
SEC Approves Amendments to the Rule 9700 Series to Streamline Existing Procedural Rules Applicable to General Grievances Related to FINRA Automated Systems
SummaryOver the past 18 months, U.S. securities markets have experienced dramatic volatility. At the same time, individual investors entered the markets in unprecedented numbers—often through self-directed accounts at online brokers—drawn in part by reduced barriers to entry, such as low- and no-commission trading and the ability to purchase fractional shares. Increased retail market
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Last Voting Date: February 10, 2003
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NASD By-Laws
Non-Payment of Arbitration Awards
Definition of "Disqualification
Comment Period Expires April 24, 1995
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Government Securities
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Executive Summary
The Department of the Treasury (Treasury) recently issued an Advance Notice of Proposed Rulemaking (ANPR) under the Government Securities Act of 1986 (GSA). Treasury intends to implement rules to require persons
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Executive Summary
On January 6, 1994, the Securities and Exchange Commission (SEC) approved an amendment adding a new Section 46 to the NASD Rules of Fair Practice that requires members holding open orders to adjust the price and the size, if necessary, of the order by the amount of any dividend, payment
Last Voting Date: October 29, 1993
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Executive Summary
The NASD invites members to vote on a proposed new section to the Rules of Fair Practice that would require a member holding an open order to adjust the order by the amount of any dividend, payment, or distribution on the day that the security is quoted
INFORMATIONAL
Revised Forms U-4 And U-5
Effective Date: March 18, 2002
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IM-8310-2
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Executive Summary
The Securities and Exchange
