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Notice to Members 97-48
Comment Period Expires: September 29, 1997 SUGGESTED ROUTING Senior Management Legal & Compliance Mutual Fund Executive Summary NASD Regulation, Inc. (NASD RegulationSM) requests member comment on proposed amendments that would revise NASD® Conduct Rule 2830, governing the sale and
Notice To Members 95-67
SUGGESTED ROUTING Senior Management Institutional Legal & Compliance Systems Trading Executive Summary On June 5, 1995, the NASD issued Special Notice to Members 95-43 (Special Notice) discussing the expansion of the Limit-Order Protection Interpretation (Interpretation) to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits member firms from
Notice to Members 04-55
REQUEST FOR COMMENTBranch Office RegistrationComment Period Expired September 3, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered Representatives RegistrationSenior ManagementBranch Office RegistrationCentral Registration Depository (CRD?)Executive SummaryNASD requests comment on a proposed uniform branch office registration form (Form BR) that will enable firms to register
Notice To Members 88-72
SUGGESTED ROUTING* Senior Management Institutional Legal & Compliance Research *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY NASD members are invited to vote on a proposed amendment to Article III,
Notice To Members 90-66
SUGGESTED ROUTING* Senior ManagementInternal AuditLegal & Compliance *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission (SEC) has issued Release No. 34-28347, containing proposed amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The proposal would expand
Remarks at the FINRA Annual Conference
Remarks by Chairman and CEO Richard Ketchum at the FINRA Annual Conference
6380B. Transaction Reporting
(a) When and How Transactions are Reported(1) Trade Reporting Facility Participants shall, as soon as practicable but no later than 10 seconds after execution, transmit to the FINRA/NYSE Trade Reporting Facility or, if the FINRA/NYSE Trade Reporting Facility is unavailable due to system or transmission failure, by telephone to the FINRA/NYSE TRF Operations Department, last sale reports of
Filing Guidance - Public Offering Review
Filing Guidance - Public Offering Review
From NCFC to Enforcement Head: Reintroducing Bill St. Louis
FINRA Enforcement works tirelessly on the front lines of investor protection, and this tremendous undertaking demands steadfast leadership. On this episode of FINRA Unscripted, we are reintroduced to Bill St. Louis, FINRA's new Executive Vice President and Head of Enforcement, to learn more about what's on the horizon for Enforcement in the new year.
Testimony Before the Subcommittee on Financial Management, the Budget and International Security Senate Committee on Government Affairs
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.