SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-1, which establishes three business days as the standard time period for settling transactions in most securities (T+3), is effective June 7,
Treatment of Commodity Pool Trail Commissions under Rule 2810
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
Please implement the following amendments: (1) modifications to its short interest reporting requirements (Rule 4560); (2) a new rule to require that participants of a registered clearing agency report to FINRA information on allocations to correspondent firms of fail-to-deliver positions; and (3) other potential enhancements related to short sale activity.
GUIDANCE
Supervisory Controls
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Institutional Securities Activities
Rule 3012
(Supervisory Control System)
Rule 3010 (Supervision)
Supervisory Control Procedures
Written Supervisory Procedures
Executive Summary
On September 30, 2004, the
Comment Period Expires February 15, 1995
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comment on proposed amendments to the NASD Rules of Fair Practice to adopt rules governing broker/dealers operating on the premises of financial institutions. The proposed rules
Exemptive relief is denied based on: the Firm’s repeated failure to detect Officer A’s contributions in excess of $250; the Firm had actual knowledge of all three of Officer A’s contributions and that the Firm violated the municipal securities ban on two separate ocassions; and the firm failed to discover its own rule violations prior to NASD’s intervention.
I do not support SEC Proposed Rule S7-24-15. I should have the right to determine what public investments are right for me without going thru a special process like passing a test. I am capable understanding the risks involved with these securities. Leverage and inverse funds are an important to my investment strategies. I use them to hedge and seek higher returns as a limited portion of my
This rule is so un-necessary. Leveraged and inverse funds are extremely important to my families investment strategy. I use hedges and stop losses and paid advice from investors with over 30 yrs experience to carefully manage these funds. These are a small but very important part of my portfolio and it makes no sense to have to pass a test to make these well thought out and previously successful
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) has approved amendments, effective March 8, 1994, to remove the member vote requirement for adoption of, or amendment to, the Rules of Fair Practice, to incorporate Appendices A, B, C, E, and F into Sections 30 through 34 of the Rules of Fair Practice, and to
