FINRA Provides Guidance on Estimated Annual Income and Estimated Yield
IMPORTANT
PLEASE DIRECT THIS NOTICE TO ALL FINANCIAL AND OPERATIONAL OFFICERS AND PARTNERS
TO: All NASD Members and Other Interested Persons
Since the issuance of Notice to Members 84-48, requests for clarification have been received concerning that portion of the Notice dealing with the treatment to be accorded commissions payable.
After further discussion with the staff of the SEC's
FINRA Requests Comment on a Proposal to Expand OTC Equity Trading Volume Data Published on FINRA’s Website
Read the frequently asked questions for information on filling out each section of the SSOI.
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
Members are advised that the National Association of Securities Dealers, Inc. (NASD®) has filed a proposed rule change to its Membership and Registration Rule 1120 (
GUIDANCE
Exemptive Relief from the OATS Electronic Recording and Reporting Requirements; Enhancements to the OATS Web Interface
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Training
OATS
Rule 6958
Rule 9610(a)
Executive Summary
In November 2005, NASD issued Notice to Members (NTM) 05-78
announcing Securities and
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Systems
Exchange Act Rule 15c3-1
Exchange Act Rule 15c3-3
Federal Reserve Board Regulation T
NASD Rule 2520
Unexpected Close
Executive Summary
This Notice provides guidelines to members regarding the applicability of Exchange
INFORMATIONALMembership Application and Continuation RulesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceMembershipSenior ManagementNew Membership ApplicationsContinuing Membership ApplicationsRule 1011Rule 1014Rule 1017Pending Arbitration Awards and ClaimsExecutive SummaryOn December 22, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rules 1011, 1014, and&
