<p>Application of Rule 2210 to the use of investment projections and marketing material when registered persons are conducting advisory services.</p>
ROUTE TO
Senior ManagementOperationsOther
Attn: Operations Officer, Cashier, Fail-Control Department
On June 28,1988, the United States District Court for the Northern District of Oklahoma appointed a SIPC trustee for the above firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close out open OTC
SR-FINRA-2008-067 - Proposed Rule Change to Adopt Rules Governing Financial Responsibility in the Consolidated FINRA Rulebook
REQUEST FOR COMMENT
Short Interest Reporting
Comment Period Expires November 29, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members and other interested parties on proposed changes to
Rule 3360, Short Interest Reporting.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 30, 1985, the United States District Court of South Carolina, Charleston Division, appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 16, 1985, the Federal District Court for the Eastern District of Arkansas appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts. Also
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 10, 1985, the United States District Court for the District of New Jersey appointed a Temporary Receiver for the above captioned firms.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close-out open OTC contracts.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 7, 1985, the United States District Court for the Central District of California appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59 (i)(2) of the NASD's Uniform Practice Code to close-out open OTC contracts.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 6, 1984, the United States District Court for the District of Oregon appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSR8 Rule G-12
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier,, Fail-Control Department
On January 31, 1984, the United States District Court for the Central District of California appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts.
