TO: All NASD Members and Other Interested Persons
ATTN: All Chief Executive Officers, Compliance Officers, and Registration Managers
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986 providing for regulation of government securities activities by brokers and dealers. This legislation created new Section 15 C under the Securities Exchange Act of
TO: All NASD MembersAll Level 2 and Level 3 SubscribersOther Interested Persons
EXECUTIVE SUMMARY
On May 15, 1987, the Midwest Stock Exchange (MSE) will begin trading 25 NASDAQ National Market System (NASDAQ/NMS) securities under the SEC-approved National Association of Securities Dealers/Midwest Stock Exchange joint unlisted trading privileges (UTP) program. This notice explains the operation
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
NASD Regulation, Inc. (
TO: All NASD Members and Other Interested Persons
ATTN: Corporate Financing Department
The Board of Governors has adopted amendments to the filing requirements of the Interpretation of the Board of Governors — "Review of Corporate Financing," which will be effective on March 1, 1985. The text of the amendments is attached to this notice. The amendments will exempt from the filing
TO: All NASD Members and Other Interested Persons
In 1981, the Association's Corporate Financing Committee undertook a study of total underwriting compensation for public offerings of corporate securities in connection with the development of a new corporate financing rule. The proposed new Corporate Financing Rule was published for comment on April 15, 1981 (Notice to Members 81-16). In
TO: All NASD Members and Other Interested Persons
ATTENTION: Direct Participation Programs Department
The Association's Direct Participation Programs Committee ("Committee") has become concerned about the continuing proliferation of sales incentives provided by the sponsors of public direct participation programs. The Committee and the Board of Governors have approved a proposed
The Trading Examinations Unit (TEU) of the Market Regulation Department at FINRA is conducting a review of Alternative Trading Systems (ATS) operated by XYZ Firm (the Firm). As part of this review, TEU is requesting the following information.
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Training
Executive Summary
Under SEC approved procedures, NASD Regulation, Inc. (NASD RegulationSM) reviews member requests for exemption from the two-year prohibition of municipal securities underwriting business contained in Rule G-37 (Rule) of the Municipal Securities Rulemaking
ACTION REQUIRED
Financial Accounting
SUGGESTED ROUTING
KEY TOPICS
Accounting
Financial Compliance
Operations
Senior Management
Financial Accounting
FOCUS Reporting
Net Capital
Executive Summary
In May 2003, the Financial Accounting Standards Board (FASB) released Statement No. 150, Accounting for Certain Financial
