TO: All NASD Members
On February 17, 1984, the Securities and Exchange Commission ("Commission" or "SEC") approved 1/ new Article III, Section 38 of the Association's Rules of Fair Practice, an Explanation of the Board of Governors, and an amendment to the Code of Procedure for Handling Trade Practice Complaints ("Code of Procedure"). These rule changes are
This Rule prescribes requirements regarding the continuing education of registered persons. The requirements shall consist of a Regulatory Element and a Firm Element as set forth below. This Rule also sets forth continuing education programs through which specified persons may maintain their qualification in a representative or principal registration category following the termination of that
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers.
The amendments to SEC Rule 15c3-l will
FINRA Announces SEC Approval and Effective Date for New Consolidated FINRA Rules; Effective Date: December 15, 2008
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceOperationsSyndicate*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Part i of Schedule D to the NASD By-Laws that provide new and separate fee structures for Nasdaq issuers. The new fees went into effect January 2, 1991.
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: ALL NASD Members
LAST VOTING DATE IS SEPTEMBER 13, 1985
Enclosed is a proposed addition to Article III of the NASD's Rules of Fair Practice. The proposed new rule has been approved by the Board of Governors and now requires the membership's approval,
The rule would establish new requirements for the private securities
TO: All NASD Members
The Board of Governors of the Federal Reserve System has adopted a number of important revisions to Regulation T. These amendments are effective on November 21, 1983; however, at their option, members may elect to operate under the revised provisions after June 20, 1983. A detailed summary of the major revisions and the text of the amended rule follows.
These changes to
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Publication Date: June 17, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 15c3-3aExhibit A - Formula for determination of customer and PAB account reserve requirements of brokers and dealers under § 240.15c3-3 CreditsDebits 1.Free credit balances and other credit balances in customers' security accounts
(a) Procedures for Reviewing Transactions
(1) An Executive Vice President of FINRA's Market Regulation Department or Transparency Services Department, or any officer designated by such Executive Vice President (FINRA officer), may, on his or her own motion, review any over-the-counter transaction involving an exchange-listed security occurring outside of Normal Market Hours (9:30 a.m.
Virtual Arbitration Hearing StatisticsArbitration Statistics Through DecemberHistorical Statistics for Cases Filed and ClosedTop 15 Controversy Types in Customer ArbitrationsTop 15 Security Types in Customer ArbitrationsTop 15 Controversy Types in Intra-Industry ArbitrationsHow Arbitration Cases CloseResults of Customer Claimant Arbitration Award CasesResult of Customer Claimant Arbitration Award
