Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule); Effective Date: October 12, 2004
NASD has filed with the SEC a proposed rule change to amend NASD Interpretive Material 8310-2 ("IM-8310-2") regarding the release of disciplinary information to the public.
INFORMATIONAL
Notices to Members
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Notices to Members
The National Association of Securities Dealers, Inc. (NASD®) published the following Notices to Members during 1999. Copies are available for $25 per
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
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Executive Summary
On November 3, 1998, the Securitiesand Exchange Commission (SEC)issued a No-Action Letter to clarify itsposition under SEC Rule 15c3-1 (NetCapital Rule) regarding the
FINRA Announces Update of the Interpretations of Financial and Operational Rules
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
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Frequently asked questions related to OATS reporting requirements to OTC equity securities.
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Code Of Procedure
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Code Of Procedure
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Failure to
We would like to see more transparency in the market. Retail investors are not privy to everything the hedge funds are. We cannot trade in pre market or after hours. There are rules in place, and we would like to see the SEC, DTCC, Et al to enforce those rules.
