To keep it simple, shorting rules and regulations need to be updated and brought up to speed. Reporting should be done faster and more efficiently.
Executive Summary
NASD is issuing this Notice to Members to remind member firms and registered financial and operations principals (FINOPs) of a FINOP's duties and responsibilities under Rule 1022 (Categories of Principal Registration). These duties are applicable to all FINOPs, regardless of whether they are employed full-time or part-time, perform such duties on-site or off-site of the
How long do I have to file an arbitration? Is there a statute of limitations?How do I file a Statement of Claim?Where do I file my Statement of Claim?Who will serve the Statement of Claim?How do I serve and file a Statement of Answer?Can I obtain an extension of time to serve and file a Statement of Answer?How do I serve and file counterclaims and cross-claims?How do I serve and file third-party
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD IM-1000-2 to toll the two-year expiration provisions for qualification examination requirements set forth in Rules 1021(c), 1031(c), and 1041(c) for certain former registered persons serving in the Armed Forces of the United States, including persons who
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD IM-1000-2 to (1) clarify that the scope of the relief provided in the IM extends to any registered person of a firm who volunteers for or is called into active military duty, not just registered representatives; (2) codify the staff's existing
How do I entitle someone to access an eFOCUS report?
Where are eFOCUS filings located in the redesigned FINRA Gateway?
How do I transmit an eFOCUS filing to my clearing firm?
When are my eFOCUS filings due?
Where can I see previously filed eFOCUS reports?
How do I amend a submitted eFOCUS report?
How do I print an eFOCUS report?
We are a newly registered member firm and when I
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Executive Summary
On July 11, 1995, the Securities and Exchange Commission (SEC) approved amendments to Article III, Section 34 of the NASD Rules of Fair Practice to exclude initial placements and secondary market transactions in direct participation program (DPP) securities that are listed or for
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - General Securities Sales Supervisor (Series 9/10) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Representative - Investment Company and Variable Contracts Products (Series 6) examination program.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") revisions to the study outline and selection specifications for the Limited Principal - Registered Options (Series 4) examination program. The proposed revisions update the material to reflect changes to the laws, rules, and regulations covered by the examination, as well as modify the content
