INFORMATIONAL
Margin Requirements
Effective Date: August 21, 2000
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Legal & Compliance
Operations
Options
Systems
Margin
NASD Rule 2520
Options
Executive Summary
On May 30, 2000, the
GUIDANCE
Denial of Access Complaints
Compliance Date: May 26, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Market Making
Operations
Senior Management
Trading
Access to Quotations
Alternative Display Facility
Market Regulation
Executive Summary
On March 10, 2005, the Securities and Exchange Commission (SEC)
NTM 06-60 is superseded by NTM 06-72GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Individual Investors
Legal & Compliance
Operations
Registered Representatives
Senior Management
Clearing Firms
Customer Account Statements
Introducing Firms
NASD Rule 2340
SIPA (Securities Investor
Protection Act)
The staff granted an exemption from NASD Rule 2790 in connection with new issue offering of a registered securities exchange for certain allocations as part of its issuer-directed share program.
December 3, 2004
Dana G. Fleischman, Esq.
Cleary, Gottlieb, Steen & Hamilton
One Liberty Plaza
New York, NY 10006-1470
Re: Request for Exemption from Rule 2790
Dear Ms. Fleischman
(a) Application of the By-Laws and the Funding Portal Rules
All funding portal members and persons associated with funding portal members shall be subject to the FINRA By-Laws and FINRA Regulation By-Laws, unless the context requires otherwise, and the Funding Portal Rules. Persons associated with a funding portal member shall have the same duties and obligations as a funding portal member
Proposed Rule Change to Modify the Gross Income Assessment Pricing Structure
<p>Secondary market trading in Fidelity Nasdaq Composite Index Tracking Stock would be consistent with the requirements of NASD Rules 2110, 2420, 2830(c), (g), and (i), and Interpretive Material 2830-2.</p>
FINRA Requests Comment on a Proposed Rule to Require Delivery of an Educational Communication to Customers of a Transferring Representative
The Supervision section of the 2019 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
Reorganization and Revision of NASD Arbitration Rules Relating to Industry Disputes
