Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2009; Payment Deadline: December 12, 2008
An unprecedented number of companies are pursuing an alternative path to entering the public market by using a special purpose acquisition company or SPAC. In 2020, SPACs raised over $80 billion, and in the first nine weeks of 2021 SPACS raised over $70 billion. Here are some basics on SPAC investing.
Public Company Accounting Oversight Board Registration Relief Expired December 31, 2008
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2008
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NASD is issuing this Notice to Members to solicit comments from
TO: All NASD Members
The Securities and Exchange Commission has adopted a number of amendments to Rule 17f-2 concerning the fingerprinting of securities industry personnel. These revisions are intended to simplify the process of claiming exemptions by clarifying existing provisions of the rule and by incorporating in the rule other exemptions previously granted by the Commission on a case-by-
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NASD Rule 3070 System Requirements
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NASD Rule 3070 System Requirements
Executive Summary
NASD Rule 3070(c) requires members to report to
The Municipal Trades Below Minimum Denomination Report displays statistics about transactions your firm effected with customers where the denomination was below the minimum denomination provided to DTCC’s New Issue Information Dissemination Service (NIIDS) and/or reference data obtained from Thomson Reuters. This report is designed to aid firms in monitoring their compliance
Comments on Regulatory Notice 22-08 I am a self-directed retail user of investing products that is approaching retirement. I do not have a finance background per se, but I have a PhD in engineering with a career revolving around probabilistic risk assessment, and financial concepts translate well. I am not necessarily representative of the “typical” self-directed investor that the regulatory
September 2005
In a continuing effort to assist member firms' compliance efforts, NASD is issuing this regular communication, "Improving Examination Results." This document has two sections: "Examination Priorities" and "Frequently Found Violations," both of which relate to the Department of Member Regulation's routine examinations of firms. While each
