SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved amendments to Article IV, Section 1, and Article VI of the Rules
FINRA Requests Comment on Proposed Limited Safe Harbor From FINRA Equity and Debt Research Rules for Desk Commentary
NASD Rule 2510 - Discretionary Accounts - A member may use the negative response process under Rule 2510(d)(2)(A) to effectuate the transfer to another money market fund of customer free credit balances that have been returned to the member by a fund that has been terminated.
I strongly appose any such rules!
Vehemently opposed to new rules
I am against this proposed rule.
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: FEBRUARY 14, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed NASD Rule of Fair Practice that would require all persons associated with a member firm to provide prior written notice to the firm of certain outside business activities.
The NASD Board of Governors believes the proposed rule is necessary to
NASD has filed a series of rule changes to create a corporate bond trade reporting and transaction dissemination facility as well as eliminate the Nasdaq Stock Market Inc.'s ("Nasdaq") Fixed Income Pricing Service ("FIPS").
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperations
Executive Summary
On January 24, 1994, the Securities and Exchange Commission (SEC) approved new Section 47, Article III, of the Rules of Fair Practice that requires members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the introducing and clearing
(a) General Considerations
This Rule provides a limited exception to Rule 2210(d)(1)(F). No member may imply that FINRA endorses or approves the use of any investment analysis tool or any recommendation based on such a tool. A member that offers or intends to offer an investment analysis tool under this Rule (whether customers use the member's tool independently or with assistance
