Exemptive relief is granted based on: representations that at the time of the contribution the individual was not employed by the firm and was not an MFP; the firm already had a significant business relationship with the state of whom the contribution recipient is an issuer official (as defined); the firm has instituted information barriers on certain municipal business communications; the individual will be prohibited from the solicitation of certain new municipal business for a period of time.
(a) Supervisory System
(1) Each funding portal member shall establish and maintain a system to supervise the activities of each associated person of the funding portal member that is reasonably designed to achieve compliance with applicable securities laws and regulations, and with the Funding Portal Rules. A funding portal member's supervisory system shall provide, at a minimum, for
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for an additional two-year period, to June 23, 2009, NASD's authority under the cease and desist pilot program. At this time, NASD is not proposing any substantive changes to the rules covered by the pilot program; the only changes regard extending the pilot
Transparency in the market! Frequent monitoring of naked shorting especially from Citadel who is a Market Maker and Hedge fund which is a conflict of interest. START ENFORCING RULES FOR ALL PARTIES EQUALLY.
We want transparency We want a free and fair market We need way bigger fines/jail time for those who disregard the rules Just take a look at AMC stock
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend the Code of Arbitration Procedure for Customer Disputes ("Customer Code") and the Code of Arbitration Procedure for Industry Disputes ("
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to establish February 4, 2008, as the effective date of the amendments to NASD Rules 6951, 6952, and 6955 that the Commission approved on October 10, 2006. The amendments expand the Order Audit Trail System ("OATS") reporting requirements to over-the-counter (
NASD is filing with the Securities and Exchange Commission a proposed rule change to amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) to require an applicant for membership to submit an application in the manner prescribed by NASD. Currently, applicants submit the new membership application form (Form NMA) in hard copy; however, NASD will be requiring
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change proposing (1) amendments to the transaction reporting rules relating to the NASD/NSX Trade Reporting Facility (the "NASD/NSX TRF"), the NASD/BSE Trade Reporting Facility (the "NASD/BSE TRF") and the NASD/NYSE Trade Reporting Facility (the "NASD/
This Rule applies to all requests to expunge customer dispute information from the CRD system, except that when a party requests expungement of customer dispute information during a simplified arbitration pursuant to Rule 12800(d), only those sections of this Rule that are specifically referenced in Rule 12800(d) through (f) shall apply. Except as otherwise provided in this Rule, all other
