ACTION REQUESTED BY OCTOBER 29, 1999
Comment Period Expires October 29, 1999
Salesperson Compensation Practices
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Compensation
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The Suggested Routing function is meant to aid the reader of this document. Each
Comment Period Expires September 13, 1999
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That is a bad rule. investors should reject this
The proposed rule is an over reach and unnecessary.
(a) Alternative Trading Systems' Recording Requirements
(1) Each alternative trading system that accepts orders for security futures (as defined in Section 3(a)(55) of the Exchange Act) shall record each item of information described in paragraph (b) of this Rule. For purposes of this Rule, the term "order" includes a broker-dealer's proprietary quotes that are
(a) Interested FINRA Staff
Except as counsel or a witness in a proceeding or as provided in the Rule 9550 Series, Interested FINRA Staff is prohibited from advising an Adjudicator regarding a decision or otherwise participating in a decision of an Adjudicator. An Adjudicator is prohibited from advising Interested FINRA Staff regarding a decision or otherwise participating in a decision
Clarification Of Special Notice To Members 97-55
In August 1997, the National Association of Securities Dealers, Inc. (NASD®) published Special Notice to Members 97-55 entitled "New Membership Application Rules, New Code of Procedure and Other New Disciplinary Rules," which described, among other things, the new Code of Procedure and when such Rules would apply to a disciplinary
(a) Application of FINRA Rule 8000 Series (Investigations and Sanctions) to Funding Portals
Except for FINRA Rules 8110, 8211, 8213 and 8312, all funding portal members shall be subject to the FINRA Rule 8000 Series, unless the context requires otherwise, provided, however, that:
(1) the term "member" as used in the FINRA Rule 8000 Series shall mean "funding portal member"
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EXECUTIVE SUMMARY
On November 24, 1992, the Securities and Exchange Commission (SEC) announced the adoption of amendments to its Net Capital Rule, Rule 15c3-1 (Rule). Except for the minimum increases scheduled to
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Executive Summary
On October 20, 1995, the Securities and Exchange Commission (SEC) approved a statement of policy that establishes internal NASD® procedures delegating to the NASD staff and the NASD Fixed Income Committee the authority to review requests by members
