SUGGESTED ROUTING
Senior Management
Corporate Finance
Government Securities
Institutional
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registration
Research
Syndicate
Trading
Training
Executive Summary
On February 8, 1995, the Securities and Exchange Commission (SEC) approved Rule 1120 of the NASD® Membership and Registration Rules
On This PageSection 100: GeneralSection 200: Equity and OptionsSection 300: DebtSection 400: FuturesGeneralQ100.1: What is the Trading Activity Fee?A100.1: The Trading Activity Fee, or TAF, is one of the member regulatory fees FINRA assesses to recover the costs the supervising and regulating firms. This includes costs associated with performing examinations, financial
TO: All NASD Members, NASDAQ Issuers and Other Interested Persons
LAST DATE FOR COMMENTS: SEPTEMBER 15, 1986.
The National Association of Securities Dealers, Inc. (NASD), requests comments on proposed revisions to Schedule D of the NASD By-Laws. Schedule D governs the operations of the NASDAQ System. The text of the proposed revisions is included as Attachment I. The text of the current Schedule
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 10, 1995, the Securities and Exchange Commission (SEC) approved amendments to the NASD's rules to make a failure to honor a written and executed settlement agreement of a dispute arbitrated by any self-regulatory organization or mediated by the NASD® a violation of the Rules of Fair Practice.
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD Uniform Practice
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Trading
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Appendix F under Article III, Section 34
As a not-for-profit membership organization, FINRA is committed to openness and engagement with our member firms regarding our financial plans. In that spirit, we are writing to update you on FINRA’s current financial situation and our path forward for funding FINRA’s mission of protecting investors and promoting market integrity while facilitating vibrant capital markets. As we have stated in several prior financial reports and communications, this path forward must eventually include an increase in member fees.
Minor Rule Violation Plan
Regulatory Notice
Notice TypeRule Amendment
Referenced Rules & NoticesNASD IM-9216
NASD Rule 9216
NYSE Rule 476A
SEC Rule 19d-1(c)(2)
Suggested Routing
Compliance
Legal
Operations
Registered Representatives
Senior Management
Key Topic(s)Minor Rule Violation Plan (MRVP)
Executive Summary
Effective September 24, 2007, the list of violations eligible for
If you are thinking about rolling over money from your Thrift Savings Plan (TSP) into an IRA, take some time to consider your options—one of which is to stay put in the TSP, or even transfer money from another retirement account into your TSP.
Each year, FINRA publishes its Annual Regulatory and Examination Priorities Letter to highlight issues of importance to FINRA's regulatory programs.
