(a) ApplicationThis Rule shall apply exclusively to the activities of members in connection with the securities of companies registered under the Investment Company Act; provided however, that Rule 2320 shall apply, in lieu of this Rule, to members' activities in connection with "variable contracts" as defined therein.(b) Definitions(1) The terms "affiliated member,"
Proposed Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
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 or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
Earlier this year, the provisions under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") with respect to withholding on dividends and interest was repealed by Congress.
Shortly after the repeal of withholding, the Interest and Dividend Tax Compliance Act of 1983 ("
INFORMATIONAL
Code Of Procedure
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Code Of Procedure
Disciplinary Action Appeals
Document Production
Eligibility and Qualification Standards
Failure to
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members
On April 12, 1984, the SEC issued Release No. 34-20853 requesting public comments on the NASDAQ Options Program. The text of this release, together with a document which provides an overview of the NASDAQ Options Program and a fact sheet highlighting major features of the program, are enclosed with this notice.
The
Neutral Corner - April 2007
SEC Approves Consolidated Financial Responsibility and Related Operational Rules
SUGGESTED ROUTING:*
Senior ManagementInternal AuditOperationsTrading*These are suggested departments only. Others may be appropriate for your firm.
On June 30, 1988, the maximum Small Order Execution System (SOES) order size for all Nasdaq National Market securities was established as follows:
A 1,000-share maximum order size was applied to those Nasdaq National Market securities that
GUIDANCEIPO Distribution ManagerVoluntary Effective Date: March 23, 2004Mandatory Effective Date: April 16, 2004SUGGESTED ROUTINGKEY TOPICSCorporate FinancingInstitutionalLegal & ComplianceOperationsSenior ManagementSyndicateTrading & Market MakingTrainingFree-Riding and WithholdingIPO Distribution ManagerIPOsRetentionRule 2790Underwriting CommitmentExecutive SummaryTo coincide
