TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MAY 22, 1986
The National Association of Securities Dealers, Inc. (NASD), has approved proposed amendments to Schedule E to the NASD By-Laws that are intended to clarify the scope and application of the schedule. Schedule E contains various requirements applicable to the public offering of a member's securities or
Summary
As work processes adjust in response to COVID-19, firms and their associated persons should take appropriate measures to address increased vulnerability to cybersecurity attacks and to protect customer and firm data on firm and home networks, as well as devices.
This alert provides firms and associated persons with measures they may use to help strengthen their cybersecurity controls in
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On December 2, 1996, the Securities and Exchange Commission (SEC) approved new NASD® Conduct Rule 2211 to impose time restrictions and disclosure requirements regarding telephone calls to customers by members and their associated persons. The SEC also approved amendments to NASD Conduct Rule
Introduction: Guidance for Arbitrators on Requests to Produce Suspicious Activity Report Information
By Judith R. Starr *
Introduction by Alma Angotti **
Introduction
On October 26, 2001, President George W. Bush signed into law the USA PATRIOT Act (Patriot Act). Title III of the Patriot Act, entitled "International Money Laundering Abatement and Anti-Terrorist Financing Act of 2001,
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
FINRA has launched an online advertising campaign, Get Your Head in the Trade, encouraging new investors to understand investment risks and rewards as well as their own financial goals and risk tolerance before making an investment decision.
FINRA Reminds Firms of Exercise Cut-Off Time for Options Expiring on the Friday After Thanksgiving
INFORMATIONAL
Subordination Agreements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Appendix D to the Net Capital Rule
Net Capital
Operations
Subordination Agreements
Subordinated Loans
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is proposing a rule requiring National Association of
Investor Contact Information
As of March 27, 1995, the following 34 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,740:
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Operations
Systems
Trading
Symbol
Company
Entry Date
SOES Execution Level
CYTOR
Cytogen Corp. (Rts 1/31/97)
2/24/95
200
CYTOW
Cytogen Corp. (
