<p>Use of third parties to aid in compliance with NASD Rule 2790(b).</p>
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Syndicate
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to Article III, Section 35 of the NASD
On October 20, 2020, FINRA announced the Small Firm Advisory Committee (SFAC) election for the South region. Eligible small firms in the South region were mailed a copy of the Election Notice and a ballot to vote in this election. Ballots must be returned no later than November 19, 2020, and the newly elected SFAC member will take office in January 2021.
Candidates
To
Executive Summary
The purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.
As detailed below, the following seats are contested:
Midwest Region Committee, District 4 representative
Midwest Region Committee, District 8 representative
North Region Committee, District 9
You need to place your attention towards all of the congressmen who have access to insider trading they all leave office as millionaires...so go get them to make a fair playing field and lay off the American investor who knows the risks....so leave us alone and allow the market to have both ProShares and Ishares without you sticking your noses in and allow our marketplace to remain an open
Summary
FINRA requests comment on a proposal to require members to publish quarterly order routing disclosure reports for held orders in OTC Equity Securities. The proposed new quarterly reports would be similar to those required for NMS stocks under the Securities and Exchange Commission’s (SEC) Rule 606(a) of Regulation NMS, with certain modifications reflecting the different structure of the
Shell companies—companies that have no or nominal business operations or non-cash assets for an extended period of time—can be used for legitimate purposes. However, they can also be used by fraudsters as vehicles for stock manipulation. Learn the signs of this type of fraud and how to protect yourself.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
SEC Approves Amendments to Require Reporting of OTC Trades in Equity Securities Within 30 Seconds of Execution
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
