Market Makers must comply with the requirements of Rule 15c2-11 of the Securities Exchange Act of 1934 when initiating or resuming quotations in a quotation medium or making a publicly available determination pursuant to 15c2-11(a)(2) if a qualified IDQS, in an OTC security. Pursuant to FINRA Rule 6432, a firm including a Qualified IDQS must complete and submit a Form 211 to FINRA to demonstrate compliance. It is not necessary to file this application if an exemption applies.
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
New Default Procedures Rule
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registration
Senior Management
Arbitration
Default Procedures
Dispute Resolution
Registration
Suspension
Termination
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Training
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
NASD members are invited to vote on a proposed Corporate Financing Rule (the "Rule") that, if adopted, would replace the
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
FINRA Revises the Series 16 Examination Program
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Good Friday, April 1, 1983. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way" Transactions
Trade
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 11, 1987.
EXECUTIVE SUMMARY
On October 28, 1986, President Reagan signed the Government Securities Act of 1986, providing for the regulation of government securities activities by brokers and dealers. This legislation created a new section 15C of the Securities Exchange Act of 1934, which requires
May 31, 2005
NASDAQ has recently enhanced the SuperMontage order modification process to allow for, among other things, the price of an order to be changed without having to cancel the original order and submit a new order.1 This enhanced order modification process impacts members' OATS obligations when reporting order modifications for orders that have been routed to SuperMontage. 
INFORMATIONAL
Customer Account Statements
Effective Date: April 16, 2001
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Limited Partnerships
Operations
Customer Account Statements
Direct Participation Programs
Merchant Banking
NASD Rule 2340
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has adopted amendments to National Association of
