Last Voting Date: April 23, 1993"
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
The NASD invites members to vote on a proposed amendment to the NASD By-Laws and Rules of Fair Practice to make all rule approval procedures under the NASD's By-Laws uniform (presently some need only Board approval; others need full membership approval) and to
Please allow the market to be transparent for everyone. The American people are investing their hard earned money under the assumption the rules are fair. AMC stock is being manipulated behind the scenes weekly. Look into AMC naked shorting. Every transaction should be visible to the public. In my opinion if companies are found to be breaking the rules there needs to be more than fines. As in
INFORMATIONAL
Initial Public Offerings (IPOs)
Voluntary Effective Date: December 23, 2003
Mandatory Effective Date: March 23, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Institutional
Legal & Compliance
Operations
Senior Management
Syndicate
Trading & Market Making
Training
Free-Riding and
Exemptive relief is granted based on representations that: the MFP made the contributions prior his employment as an MFP and before he was aware of Rule G-37; the Candidate is a personal friend of the MFP; the Firm discovered the contributions through its pre-employment due diligence process; the contributions were refunded; the Firm hired the MFP for reasons unrelated to the contributions; the Firm has a long-standing relationship with the State and the contributions are not related to any business; and the individual will be prohibited from involvement in municipal securities business with the G-37 Issuers for a period of time.
The following are rulemaking items the FINRA Board of Governors will consider at its December 2010 meeting - this information is being published to provide additional transparency in the rulemaking process.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
Executive Summary
On March 24, 1997, NASD Regulation, Inc. (NASD RegulationSM) filed with the Securities and Exchange Commission (SEC) for its approval Amendment No. 4 to proposed NASD® Rule 2350, which specifies requirements applicable to broker/
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to change references in the Codes of Arbitration Procedure from the Neutral List Selection System to the list selection algorithm.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to expand NASD's current Order Audit Trail System (OATS) exemptive authority to include recording requirements.
A member firm that provides services to Non-ERISA Plan participants and beneficiaries may rely on the filing exclusions contained in Rule 2210(c)(7)(B) and (C) in preparing and distributing a “Model Disclosure” as described in the letter, subject to the stated conditions and obligations discussed in the letter.
INFORMATIONAL
Predispute Arbitration Agreements
Effective Date: June 11, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Arbitration
Code of Arbitration Procedure
Executive Summary
On April 6, 2001, the Securities and Exchange Commission (SEC or Commission) approved an amendment to National Association of
