SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 10, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules governing market maker withdrawals and
SEC Approves Amendments to the Codes of Arbitration Procedure Regarding Award Offsets
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS DECEMBER 31, 1986.
EXECUTIVE SUMMARY
NASD members are invited to vote on proposed new Article III, Section 42 of the NASD Rules of Fair Practice. The proposed new rule would prohibit NASD members from effecting, directly or indirectly, over-the-counter transactions in a security as to which a trading
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
Proposed Rule Change to Amend FINRA Trade Reporting Rules Relating to OTC Transactions in Equity Securities that are Part of a Distribution and to Transfers of Equity Securities to Create or Redeem Instruments such as ADRs and ETFs
ACTION REQUIRED
Mutual Fund Transactions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Mutual Fund Sales
Operations
Senior Management
Mutual Fund Transactions
Executive Summary
Investment Company Act Rule 22c-1(a) generally requires that redeemable securities of investment companies be sold and redeemed at a price
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Operations
Rule 6200 Series
Transaction Reporting
Executive Summary
On June 18, 2003, the Securities and
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued the annual Firm Element Advisory, a
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 1990. Duplicate copies are available at $25 per monthly or
Exemptive relief is granted based on the following considerations: (1) Name was not an MFP at the time the Contribution was made and was not involved in the solicitation of new municipal securities business; (2) the Firm took action once it became aware of the Contribution by instituting a self-ban on new City municipal securities business; (3) the Firm notified Name of her designation as an MFP and the accompanying restrictions; (4) the Firm has agreed to establish information barriers to help ensure the segregation of information flow, minimizing the potential for quid pro quo resulting from the Contribution; (5) the Firm represents that it has corrected the technical political contributions database problems and has established new procedures for direct notification to legal and compliance personnel of additions to the Parent Management Committee; and (6) although the Contribution has not been returned, the Firm represents that reasonable efforts have been made to obtain the return of the Contribution.
