Thank you, Paul, for that introduction, and thank you to the Exchequer Club for the invitation.
Thank you very much, Mr. Secretary. It's an honor to be here today with you and Secretary Duncan.
SEC Approves Exemption from the Requirements in NASD IM-2110-2 and NASD Rule 2111 for Certain Regulation NMS-Compliant Intermarket Sweep Orders
Annual FINRA Election Cycle and Procedures Overview
Rule Filing Status As Of December 3, 1996
NASD Rule Filing Status
Following is a list of rule filings by the NASD regarding broker/dealer regulation that are pending at the Securities and Exchange Commission (SEC) or recently approved. The information set forth below is current as of December 3, 1996. Copies of rule filings (and any amendments thereto), the SEC release publishing the rule
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of June 12, 1991, the following 38 issues joined Nasdaq/NMS, bringing the total number of issues to 2,560:
Symbol
Company
Entry Date
SOES Execution Level
OWWH
OW Office Warehouse, Inc.
5/15/91
500
DNKG
Danek Group, Inc.
5/17/91
1000
Summary
FINRA reminds firms to evaluate their exposure to LIBOR (formerly, the London Interbank Offered Rate), and review their preparedness to manage LIBOR’s phase-out. To understand how firms are preparing for that phase-out, FINRA surveyed a representative cross-section of member firms, including some firms with significant trading volume or positions in LIBOR-linked securities. This Notice
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Mutual Fund
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposal to amend the NASD confirmation rule,
SEC Approves Amendments to FINRA Rule 2360 (Options) and FINRA Rule 4210 (Margin Requirements) in Connection With Over-the-Counter Options Cleared by the OCC
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Registration
Trading
Training
Executive Summary
On April 1, 1998, NASD Regulation, Inc., implemented amendments to the National Association of Securities Dealers, Inc. (NASD®) Registration Rules
