Proposed Rule Governing Allocations and Distributions of Shares in Initial Public Offerings
NASD has filed with the SEC a proposed rule change to amend Schedule B to the NASD By-Laws to change the territorial boundaries of certain NASD district offices.
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Arbitration Awards
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In August 2000, the National Association of Securities Dealers, Inc. (NASD®) published Notice to Members 00-55 which announced that NASD Dispute
FINRA hosted a Regulation Best Interest (Reg BI) conference on Dec.18, 2019 in Washington, D.C. for firms to discuss best practices and approaches. Approximately 500 compliance officers and other industry participants attended the one-day event focused on assisting firms as they gear up for the June 30, 2020 compliance date for the SEC’s Reg BI and Form CRS.Reg BI establishes a "best
I am writing as a humble retail investor. Recent events and research have demonstrated that the entire securities market is built around big players taking money directly from retail investors and legitimate corporations who have zero recourse. The current system for reporting short sales is laughably ineffective. It is completely obscured from retail traders, intentionally preventing free trade
Decision IssuanceAfter considering the application, the membership interview, documents provided by the Applicant, other information, the public interest and the protection of investors, FINRA’s Membership Application Program (MAP) will issue a decision as to whether membership will be granted, granted with restrictions, or denied. The decision will be based upon a determination as to whether the
<p>The expansion of the NASD's sales practice authority over group variable contracts in August 1996 requires that broker/dealers apply NASD rules to all their sales of group variable contracts, including pre-August 1996 variable contracts. Thus, broker/dealers who had not set up record-keeping procedures for pre-August 1996 contracts must now do so.<br/></p>
FINRA Rule 4530 (Reporting Requirements) requires member firms to promptly report to FINRA, and associated persons to promptly report to firms, specified events, including, for example, findings of violations of securities laws and FINRA rules, certain written customer complaints, and certain disciplinary actions the firm takes. Member firms must also promptly report to FINRA certain internal conclusions of violations, and must report quarterly to FINRA statistical and summary information regarding certain written customer complaints. In addition, FINRA Rule 4530 requires member firms to file with FINRA copies of specified criminal actions, civil complaints and arbitration claims.
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Initiation of Review by Applicant
Within 25 days after service of a decision under Rule 1014 or 1017, an Applicant may file a written request for review with the National Adjudicatory Council. A request for review shall state with specificity why
Comment Period Expires July 16, 1999
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