The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
Remarks About the National Financial Capability Study
Staff Relocations
Over the next several months, some NASD Regulation, Inc. (NASD RegulationSM) and National Association of Securities Dealers, Inc. (NASD®) staff will be moving from Washington, D.C. to a new location in Rockville, Maryland. The move will be conducted in a staggered fashion beginning early July, with completion expected in the fall of this year. This relocation plan affects over
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the fourth quarter of 1985. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006.
Notice Number
Date
Topic
85-65
October 1, 1985
SIPC Trustee
SEC Approves Amendments to Rule 1120 to Eliminate Exemptions from the Continuing Education Regulatory Element Requirements; Effective Date: Anticipated April 2005; Specific Date to be Announced in Future Notice to Members
Registration Fee Changes
Registration fees have changed recently in the following jurisdictions: Utah, the Chicago Board of Options Exchange, North Dakota, and Nebraska. These registration fees are processed through the Central Registration Depository (CRDSM) and the changes went into effect on July 1, 1999.
Utah
Fee Description
New Amount
• UT Individual Registration Fee
$45.00
• UT
With over 20,000 companies whose shares trade either on a U.S. exchange or in over-the-counter markets, there’s ample room for confusion. Fundamental research and an understanding about the way in which stocks are listed and traded can go a long way toward helping you make sound investment decisions.
SUGGESTED ROUTING
Senior ManagementInstitutionalOptionsTrading
Effective July 11, 1994, tier sizes for 500 Nasdaq National Market (NNM) securities will be revised in accordance with ¶2451a7 of the Rules of Practice and Procedure for the Small Order Execution System (SOESSM).
Under the revised SOES rules (see Special Notice to Members 94-1 January 5, 1994), the maximum order-execution
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
