ACTION REQUESTED
Member Facilitation Of Lending Between Customers
Comment Period Expires: February 12, 2001
SUGGESTED ROUTING
KEY TOPICS
Individual Investor
Legal & Compliance
Registered Representatives
Senior Management
Lending Arrangements
Margin
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National Association of
Summary
In August 2019, FINRA launched a retrospective review that, among other things, sought stakeholders’ input on the effectiveness of Rule 3240 (Borrowing from or Lending to Customers).1 Based on feedback received during the review, FINRA is proposing amendments to Rule 3240 to:
emphasize that the rule generally prohibits registered persons from entering into borrowing or
FINRA Requests Comment on Proposed FINRA Rule Regarding Front Running of Block Transactions
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 (Act) which provides for the federal regulation of government securities brokers and dealers. The new legislation, which becomes effective on July 25, 1987, creates new Section 15C under the Securities Exchange Act of 1934 (Exchange Act) entitled
Remarks by Richard Ketchum From the SIFMA C&L New York Regional Seminar
This ensures that the small guy will be held back and gives the institutional players and family offices with inter-generational wealth an unfair competitive advantage.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
On April 18, 1997, the National Association of Securities Dealers, Inc. (NASD®) proposed to the Securitiesand Exchange Commission (SEC or Commission) SR-NASD- 97-28, a rule filing containing
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
As requested by the Department of Treasury (Treasury), the National Association of Securities Dealers, Inc. (NASD®) provides members with information from the Office of Foreign Assets Control (OFAC) about persons and entities identified as "Specially
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
In 2009 FINRA conducted a voluntary firm survey to determine preparedness for a pandemic in light of current events involving influenza A (H1N1). This survey continues FINRA's efforts to assist firms with business continuity planning by facilitating the exchange of information.
