SEC Approves FINRA Membership Waive-In Process for Certain NYSE Member Organizations
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 5, 1987.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed amendments to Article III, Sections 21(b) and 41 of the NASD Rules of Fair Practice. The NASD Board of Governors has reviewed the applicablity of recent regulation of short-sale practices by NASD members to various types of
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, September 16, 1996. The information relating to matters contained in this section is current as of September 5, 1996. Information received subsequent to September 5, 1996, is not reflected in this section.
Firm Expelled, Individual Sanctioned
Banc Street Securities, Inc. (Milwaukee, Wisconsin) and Gerald
The Series 9 and 10 exams — General Securities Sales Supervisor Qualification Exams (SU) —assess the competency of an entry-level principal to perform their job as a general securities sales supervisor.The exams measure the degree to which each candidate possesses the knowledge needed to perform the critical functions of a general securities sales supervisor, including the approval of customer
SummaryThe annual meeting of FINRA firms will take place on or about September 11, 2024, to elect one Large Firm Governor, one Mid-Size Firm Governor and one Small Firm Governor to the FINRA Board of Governors (FINRA Board). A formal notice of the meeting, including the precise date, time and location, will be mailed to executive representatives on or about August 12, 2024.The purpose of this
(a) Definitions
For purposes of this Rule, the following terms shall be defined as provided.
(1) "Emerging Growth Company" has the same meaning as in Section 3(a)(80) of the Exchange Act.
(2) "Equity security" has the same meaning as defined in Section 3(a)(11) of the Exchange Act.
(3) "Independent third-party research report" means a third-party research report
September 25, 2006On September 14, 2006, NASD filed a proposed rule change (SR-NASD-2006-108) to establish a new Trade Reporting Facility in conjunction with the National Stock Exchange ("NSX") that would provide members another mechanism for reporting trades in Nasdaq-listed equity securities effected otherwise than on an exchange.NASD is issuing this OATS Report to inform members that
Discussing money management and investing strategies might not seem romantic, but managing a relationship is hard enough without having to fight about money. If you’re thinking of marriage or a long-term partnership, it’s important to discuss financial goals, savings, investment strategies and risk tolerance levels.
Last Voting Date: February 16, 1996
Executive Summary
The NASD invites members to vote on proposed amendments to the NASD By-Laws that will require members to file electronically Forms U-4, U-5, and BD and amendments thereto. These amendments also establish time periods for when such filings must be made. Ballots must be postmarked no later than February 16, 1996.
Text of the amendment
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Training
Executive Summary
Members must review and correct promptly, as needed, their settlement agreements with customers or other persons that contain confidentiality clauses that prohibit or discourage the customer or other person from disclosing the settlement terms (and the underlying facts of the dispute
