NASD Rule 2110 - Standards of Commercial Honor and Principles of TradeMember ceasing to offer retail brokerage accounts with investment advisory and prime brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to a newly formed broker-dealer.
Overview
This publication outlines emerging insider threat risks and helps member firms identify, prevent, detect, and respond to these threats, including:
identifying how insider threats can occur at firms, and what factors may indicate that these attacks are on the rise;
providing a summary of core controls and effective practices firms may consider when evaluating their insider threat
FINRA Requests Comment on Proposed Rule Requiring the Filing of Supplemental FOCUS Information and Proposed Supplementary Schedule to the Statement of Income (Loss) Page of FOCUS Report Parts II and IIA
Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
The NASD requests comments on proposed amendments to Article in, Section 45 of the Rules of Fair Practice that would require certain disclosures and reporting of Direct Participation Program (DPP) securities on customer account statements.
ACTION REQUESTED
Taping Rule
Comment Period Expires: July 25, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
IM-8310-2
Public Disclosure Program
Rule 3010
Supervision
Taping Rule
Executive Summary
NASD Regulation, Inc. (NASD Regulation) requests comment on proposed amendments to Rule 3010(b)(2), commonly referred to as the Taping Rule
SEC Announces Approval of Amendment to FINRA's MRVP to Include Violations of Options Position and Exercise Limits and Contrary Exercise Advice Procedures
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual FundRegistrationTraining
Executive Summary
The NASD is publishing this Notice to remind members, particularly members affiliated with banks or participating in bank networking arrangements, of their obligations under the Rules of Fair Practice to disclose to customers the varying risks of investing the
The staff granted an exemption from FINRA Rule 5130 with respect to purchases of "new issues" by the Novartis Pension Funds.
Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) also appointed several individuals to fill additional vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently
May 29, 1998
Mr. Kenneth W. Perlman
General Counsel
Mayer & Schweitzer, Inc.
111 Pavonia Avenue East
Jersey City, New Jersey 07310
Re: Exemption Pursuant to NASD Rule 2320(g)(2)
Dear Mr. Perlman:
We are in receipt of your letter in which you request that the Office of General Counsel, NASD Regulation grant your specific request for exemptive relief from NASD Rule 2320(g)(1), the
