The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., is filing with the SEC a proposed rule change to amend NASD Rules 10335 and 10205 of the NASD's Code of Arbitration Procedure to simplify and expedite the procedures for seeking immediate injunctive relief in intra-industry disputes and to fairly and effectively integrate court-ordered initial injunctive relief with the
Exemptive relief is granted based on representations that: although the MFP/MAP is deemed to be such by virtue of her appointment to the Firm’s Management Committee, she is not involved in the Firm’s municipal securities or municipal advisory business; although the MFP/MAP signed the $25 contribution check, she represents that the contribution was actually her husband’s and was motivated by his desire to support female political candidates, as evidenced by a pattern of small contributions to other female candidates; the MFP/MAP’s husband is not employed by the Firm or any of its affiliates; the MFP/MAP has obtained a refund of the contribution; and the Firm identified the contribution through its supervisory processes and has put additional processes in place to ensure the MFP/MAP will not be involved in municipal securities or municipal advisory business for two years from the date of the contribution.
SR-FINRA-2009-026 - Proposal to Amend Various Rules of the Customer Code and Industry Code to Correct Typographical Errors and Implement Other Non-Substantive Technical Changes
INFORMATIONAL
OTCBB Trading Halts
Effective Date: June 26, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Trading & Market Making
Training
OTC Bulletin Board
Trading Halts
Executive Summary
On May 22, 2000, the Securities and Exchange Commission (SEC) approved a rule change that allows The Nasdaq Stock Market, Inc. (The Nasdaq Stock
INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Municipal/Government Securities
Registered Representatives
Senior Management
Training
MSRB Rule G-37
Political Contributions
Executive Summary
Since May 1999, NASD Regulation, Inc. (NASD RegulationSM) has considered three requests for exemptive relief
GUIDANCE
Extension of Time Requests
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Operations
Extension of Time Requests
NASD Rule 3160
Regulation T
SEC Rule 15c3-3
Executive Summary
On September 15, 2006, the Securities and Exchange Commission (SEC) approved new NASD Rule 3160 that requires: (1) all
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.
<p>For purposes of Rule 2740, securities custodial, clearance and settlement services are not considered bona fide research.</p>
Effective Tuesday, May 28, 2024, in accordance with the SEC’s amendments to Exchange Act Rule 15c6-1(a) to shorten the standard settlement cycle from two business days (T+2) to one business day (T+1), FINRA will implement its changes for equity trade reporting. Please see DTCC notice for details of the financial industry coordination for this project
<p>Short Sale Netting Requirements and Aggregation Units<br />
</p>
