SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Mutual Fund
Operations
Systems
Trading
Executive Summary
On March 17, 1995, the Securities and Exchange Commission (SEC) approved the NASD's amendments to Sections 5, 6, 12,46, and 64 of the Uniform Practice Code (the UPC) and Sections 1 and 26 of the Rules of Fair Practice (the RFP) to conform the NASD
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistration
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
FINRA Requests Comment on a Revised Proposal Regarding the Consolidated FINRA Rules Governing FINRA’s Membership Application Proceedings
SUGGESTED ROUTING:*
Corporate FinanceGovernment SecuritiesInternal AuditLegal & ComplianceMunicipalMutual FundOperationsOptionsRegistrationResearchSyndicateSystemsTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
The NASD published the following Notices to Members during 1991. Duplicate copies are available at $25 per monthly or special
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceInstitutionalSystemsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
In a report titled "Clearance and Settlement Systems in the World's Securities Markets," a private-sector group published nine recommendations proposing standards for clearance and settlement of
John Gannon Testimony - July 16, 2008: Testimony Before the
Special Committee on Aging
United States Senate
Conferences like this provide an ideal setting for regulators and market participants to engage in a productive dialogue concerning the exciting issues in this fast-changing market.
REQUEST FOR COMMENT
SUGGESTED ROUTING
KEY TOPICS
Corporate FinancingExecutive
RepresentativesLegal & ComplianceSenior
ManagementOperations
AffiliatesControl EntityInstitutional
AccountsMember Private OfferingsPrivate PlacementsPrivate Placement MemorandumRegulation D
Member Private Offerings
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
FINRA Requests Comment on Proposed Registration Category, Qualification Examination and Continuing Education Requirements for Operations Professionals
Any member of FINRA that is also a member of the New York Stock Exchange LLC ("NYSE") ("Dual Member") (including any persons affiliated with such member) may be subject to a fine under Rule 9216(b) with respect to any rule or By-Law provision listed in this Rule that applies to such member or person. However, any Dual Member that was not also a member of NASD as of July 30,
