This rule is no longer applicable. Incorporated NYSE Rules have been superseded by Temporary Dual FINRA-NYSE member Rule Series. Please consult the appropriate FINRA Rule.
No member organization may, without the prior written approval of the Exchange, form or acquire a subsidiary company. The member organization shall require such subsidiary to comply with the following provisions.
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(a) Hearing Session Fees
(1) Hearing session fees will be charged for each hearing session. The total amount chargeable to the parties for each hearing session is based on the amount in dispute, as specified in the schedule below. In the award, the panel will determine the amount of each hearing session fee that each party must pay.
Hearing Session Fees
Amount of Claim
Why AttendFINRA’s premier event—the Annual Conference creates an environment for member firms to learn from FINRA staff and connect with industry peers. This forum is designed to provide practical guidance and critical insights on trending regulatory and compliance topics which, in turn, aims to increase investor protection. Firms can expect to hear how to prepare and adapt to
TO: All NASD Members and Other Interested Persons
SUMMARY
Recently, in response to a request by the Association, the staff of the SEC's Division of Market Regulation issued a no-action letter concerning 17 C.F.R. 240.15c3-l (the "net capital rule") and 17 C.F.R. 240.15c3-3 (the "customer protection rule"). The letter provides, until December 31, 1983, a temporary
GUIDANCE
Portfolio Margin Risk Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Margin
Operations
Senior Management
Margin Requirements
Options
Portfolio Margin
Portfolio Margin Risk Disclosure Statement
Rule 2520
Rule 2860
Executive Summary
As announced in Notice to Members (NTM) 07-11 (February 2007
Summary
The NSCC1 administers ACATS, a system that automates and imposes specified duties and performance timeframes to facilitate the transfer of accounts, in whole or in part, from one firm to another. The NSCC recently announced a change to ACATS that will allow a receiving member (the firm slated to receive the customer’s account) to use the “receiver delete” function to remove alternative
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On June 5, 1995, the NASD issued Special Notice to Members 95-43 (Special Notice) discussing the expansion of the Limit-Order Protection Interpretation (Interpretation) to Article III, Section 1 of the NASD Rules of Fair Practice that prohibits member firms from
Joint NASD and NYSE interpretation that individuals involved in the development of certain quantitative equity research ratings model are not “research analysts” as defined by the SRO research analyst conflict of interest rules.
INFORMATIONAL
Confidential Customer Information
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Consumer Information
SEC Regulation S-P
Executive Summary
In light of recently enacted federal law, NASD Regulation, Inc. (NASD RegulationSM)
INFORMATIONAL
Borrowing From and Lending to Customers
Effective date: November 10, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
Borrowing From and Lending to Customers
Rule 2370
Executive Summary
On August 29, 2003, the Securities
