TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD has amended its policy regarding the publication of disciplinary actions to provide that actions resulting in monetary sanctions of $10,000 or more will be published in the same manner as actions resulting in suspensions, bars, expulsions and/or revocations. The new policy will be implemented with respect to District
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
TO: All NASD Members, NASDAQ Companies and Other Interested Persons
LAST DATE FOR COMMENT: AUGUST 30, 1985.
The National Association of Securities Dealers, Inc., is requesting comment from NASD members, NASDAQ issuers and other interested persons on certain concepts related to voting rights of the shareholders of companies whose securities are included in the NASDAQ National Market System (
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
On August 13, 1993, the Securities and Exchange Commission (SEC) issued a no-action letter that allows broker/dealers to treat foreign equity securities listed on the FT-Actuaries World Indexes (Indexes) as having a "ready market" under SEC Rule 15c3-1 (net capital rule
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is publishing interpretations of restrictions which apply to venture capital investments by NASD members and certain of their control persons. 1/ These restrictions (hereinafter the "Venture Capital Restrictions") were added to the
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
This report provides a summary of the review activity for the filings submitted during the selected and previous reporting periods.
If you have questions regarding the content of this report, please contact FINRA Corporate Financing at (240) 386-4623.
Deals Filed During the Selected Period
Term
Description
FINRA Review Program
The review
When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Dispute Resolution;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date Is September 19, 1983
Enclosed herewith is a proposed new rule under Article III of the Rules of Fair Practice. Proposed Section 38 was approved by the Association's Board of Governors and now requires the approval of the membership. If approved, it must then be filed with, and approved by,
