SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an amendment to Article III, Section 26 of the
INFORMATIONAL
Erroneous Complaint Procedures
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Clearly Erroneous Complaint Procedures
NASD Rule 11890
Executive Summary
The purpose of this Notice is to reiterate the procedures for filing complaints under the National Association of
SUGGESTED ROUTING
Legal & Compliance
Registration
Systems
Training
Executive Summary
On September 8, 1995, the Securities and Exchange Commission (SEC) approved NASD® Rule 3070 (formerly Article III, Section 50 of the NASD Rules of Fair Practice) (the Rule) for reporting customer complaint information and other specified events to NASD Regulation, Inc. (NASD Regulation). The
The NASD, through its wholly owned subsidiary, NASD Regulation, Inc., has filed with the SEC a proposed rule change to adopt NASD Rule 3090, to: (1) require NASD members to promptly obtain and implement a duplicate statement instruction whenever they have actual knowledge that an Association or American Stock Exchange employee has a financial interest in, or controls trading in, an account; (2)
With all the frauds and blind greed out there, I support FINRA's new common sense rules! They are not really that onerous, seriously.
Apropos to FINRA for doing their job!!!
GUIDANCE
Anti-Money Laundering Compliance
Programs
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
Anti-Money Laundering
Compliance Programs
IM-3011-1
IM-3011-2
Rule 3011
Executive Summary
On December 28, 2005, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 3011 and the adoption
of IM-3011-1 and IM-
New Member Applications
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
New Member Applications
Rule 1013
Rule 1014(a)
Standardized Application Form
Executive Summary
NASD is issuing this Notice to inform
Proposed Foreign Hearing Location Rule
NASD Regulation Reminds Members To Develop Year 2000 Plans
NASD Regulation, Inc., urges National Association of Securities Dealers, Inc. (NASD®) members to develop and implement an action plan to ensure and achieve Year 2000 compliance. The scope of Year 2000 plans should extend to all information technology systems (internal and external) used to conduct a securities business and other
Regulators are quick to tax my investments to support their various social projects, now they want to also control what and how I invest. No to Rule #22-08
