NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
Multi Factor Authentication (MFA) enhances the security of accounts by adding an additional layer of security beyond the Username and password. MFA is one of the most effective security controls currently available to protect against remote security hacks. Passwords are increasingly easy to compromise and are often stolen, guessed or hacked. MFA helps the account stay secure even if the password
Effective August 1, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Training
At its July 1995 meeting, the NASD® Board of Governors approved temporary fee increases for certain agent registration filings to help fund the redesign and implementation of the Central Registration Depository (CRD). The following fee increases are effective August 1,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceOperationsSyndicateTradingTraining
Executive Summary
The Securities and Exchange Commission (SEC) has approved an exception to SEC Rule 10b-6 (Rule 10b-6) and a new companion rule, Rule 10b-6A, under the Securities Exchange Act of 1934 to permit "passive market making" in certain distributions of
SUGGESTED ROUTING
Senior Management Legal & Compliance Mutual Fund
Executive Summary
In Notice to Members 94-14, the NASD provided guidance on compliance with Article HI, Section 26 of the Rules of Fair Practice, which requires members to disclose in the fund prospectus any compensation received in the sale of mutual fund securities. This Notice clarifies that the guidance
SUGGESTED ROUTING:*
Senior ManagementInstitutionalLegal & ComplianceTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 20, 1992, the NASD® submitted to the Securities and Exchange Commission (SEC) a letter responding to the SEC's request for comments on today's market structure and regulatory environment
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed amendment to the NASD By-Laws to extend the NASD's summary suspension procedures to permit the NASD to suspend the membership or registration of a party that
SUGGESTED ROUTING:*
Internal AuditLegal & ComplianceRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to Article VI, Sections 3 and 4 of the NASD By-Laws to provide for the suspension or cancellation of the registration of an associated person in
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of February 8, 1991, the following seven issues joined Nasdaq/NMS, bringing the total number of issues to 2,554:
Symbol
Company
Date
SOES Execution Level
AHSI
ALTA Health Strategies, Inc.
1/22/91
1000
GENZW
Genzyme Corporation (Wts)
1/
Summary
FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) have updated certain data elements for Electronic Blue Sheets (EBS) to reflect the SEC’s December 21, 2018 approval of MIAX Emerald and the name change of Chicago Stock Exchange to NYSE Chicago, Inc. The updates are effective immediately.
Attachments A and B to this Notice set forth the EBS record
