INFORMATIONAL
The PORTAL Market
Effective Date: June 16, 2001 For PORTAL Equity Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Registered Representatives
Senior Management
Technology
Trading & Market Making
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to the NASD By-Laws and Schedule B thereof that restructure the size and
Effective: November 16, 1998
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Registered Representatives
Training
Executive Summary
On August 26, 1998, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rule 2210 to require that written or electronic communications
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests public comment concerning the potential benefits to investors of allowing the
Good afternoon, Chairman Reed, Ranking Member Allard and distinguished Members of the Subcommittee. NASD is grateful for the invitation to testify regarding the regulatory consolidation of NASD and NYSE Member Regulation.
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May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year
Last Voting Date: September 27,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or
The Annual Meeting of member firms of the Financial Industry Regulatory Authority, Inc. (FINRA) will be October 26, 2007 at 10 a.m. in the FINRA Visitors Center, 1735 K Street, NW, in Washington, DC. The purpose of the meeting is to conduct the election of governors to the FINRA Board. Member firms can also raise other topics for discussion if they notify FINRA by October 19, 2007.1
It is
Reportable Options Positions, Options Position Limits and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Options
Legal and Compliance
Institutional
Senior Management
Operations
Trading
Aggregation
Exercise Limits
Index Options
Large Options Position Reporting
Options
Position Limits
Rule 2860
Executive Summary
On November 15, 2006, the Securities and Exchange Commission
(
Summary
FINRA has amended the requirements relating to Covered Agency Transactions that FINRA originally adopted in 2016. Covered Agency Transactions include (1) To Be Announced transactions, inclusive of adjustable rate mortgage transactions, (2) Specified Pool Transactions and (3) transactions in Collateralized Mortgage Obligations, issued in conformity with a program of an agency or
