Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend the Codes of Arbitration Procedure to add new FINRA Rules 12808 and 13808 (Accelerated Processing) to accelerate the processing of arbitration proceedings for parties who qualify based on their age or health condition.
FINRA Filing Requirements and Review of Regulation A Offerings
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The SEC has approved amendments to Schedule E to the NASD By-Laws governing the public offering of securities issued by a member, the parent of a member, or an affiliate of a member. With the exception of an exemption from Schedule E for investment grade securities, eollateralized by financing instruments, the remaining changes
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897(b) (CAT Cost Recovery Fees) to implement a Consolidated Audit Trail (“CAT”) cost recovery fee designed to permit FINRA to recoup its designated portion of the reasonably budgeted CAT costs of the National Market
<p>The applicability of NASD Rule 3040 to situations in which associated persons are proposing to receive selling compensation.<br/></p>
Everything you are doing is against the constitution, you know it, you are not our rulers, you do not get to decide these things for us, we say no, we do not comply, we are done paying for your bribes, underground facilities, war operations, and everything else, government should be very small and for the people not you, stop immediately because I tell you right now, we will treat you like Disney
I should be able to choose public investments that I feel are right for me and my family, not some government agency. This in my opinion is a government over reach. It appears that every day the government tries to usurp American citizens rights and indoctrinate each and every American citizen. This is supposed to be a free country. Let's keep it that way. i'm truly tired of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend FINRA Rule 6897 (Consolidated Audit Trail Funding Fees) to establish fees for Industry Members related to reasonably budgeted Consolidated Audit Trail (“CAT”) costs of the National Market System Plan Governing the Consolidated Audit
SUGGESTED ROUTING*
Senior ManagementInternal AuditLegal & ComplianceRegistrationTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article IV, Section 1 of the NASD Rules of Fair Practice. The amendment to Section 1 would exclude from the rule
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 8, 1985, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above-captioned firm.
Please refer to Notice to Members 85-25 regarding the previous appointment of a Temporary Receiver.
Questions regarding the firm should be directed to:
SIPC Trustee
Richard W. Hill,
