TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 13, 1984, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on January 31, 1984.
Members may use the "immediate close-out" procedures as provided in Section 59(1
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier, Fail-Control Department
On December 15, 1983, the United States District Court for the Southern District of New York appointed a SIPC trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on December 8, 1983.
Members may use the "immediate close-out" procedures as provided in
TO: All NASD Members and Interested Persons
Attention: Compliance and Registration Personnel
This notice is intended to remind members of the importance of compliance with state registration requirements. A number of state securities administrators have been vigorously enforcing state registration requirements with respect to broker-dealer registration, individual salesmen registration, and the
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Monday, July 11, 1983, the United States District Court for the Central District of California appointed a SIPC Trustee for the above-captioned firm. Previously, a temporary receiver had been appointed for the firm on July 1, 1983.
Members may use the "immediate close-out" procedures as provided in
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Friday, May 27, 1983, the United States District Court for the Western District of Pennsylvania, appointed the Securities Investor Protection Corporation as Trustee for MBD Investors, Inc.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Thursday, February 10, 1983, the United States District Court for the Northern District of Ohio, Western Division, appointed a SIPC Trustee for the above-captioned firm. Previously, a temporary receiver had been appointed for the firm on February 5, 1983.
Members may use the "immediate close-out"
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "the Commission") has issued Release No. 34-28927, adopting amendments to Rule 15c3-1 (the "Rule") with respect to withdrawals of net capital. The
Investments that I've personally picked have been better performing than those of financial advisors. I have an MBA in Finance and am educated enough to make my own financial decisions.
Comments on Regulatory Notice 22-08 I am a self-directed retail user of investing products that is approaching retirement. I do not have a finance background per se, but I have a PhD in engineering with a career revolving around probabilistic risk assessment, and financial concepts translate well. I am not necessarily representative of the “typical” self-directed investor that the regulatory
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