This Notice describes the protocol by which FINRA will announce the effective dates of the new FINRA rules that are being adopted as part of the consolidated rulebook (Consolidated FINRA Rulebook).
Comment Period Expires October 15, 1995
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Syndicate
Executive Summary
The NASD® is proposing to amend the Corporate Financing Rule, Article III, Section 44, of the NASD Rules of Fair Practice (Rule) to require that certain registered and unregistered exchange offers and related information must be filed with
Sec. 7.1 (a) FINRA Dispute Resolution shall indemnify, and hold harmless, to the fullest extent permitted by Delaware law as it presently exists or may thereafter be amended, any person (and the heirs, executors, and administrators of such person) who, by reason of the fact that he or she is or was a Director, officer, or employee of FINRA Dispute Resolution or a committee member, or
(a) Application
This Rule shall apply exclusively (and in lieu of Rule 2341) to the activities of members in connection with variable contracts, to the extent such activities are subject to regulation under the federal securities laws.
(b) Definitions
(1) The term "purchase payment" as used throughout this Rule shall mean the consideration paid at the time of each purchase or
(a) Any person who proposes to form a member organization and any member organization which proposes to admit therein any approved person shall notify the Exchange in writing before any such formation or admission and shall submit such information as may be required by the Rules of the Exchange. No such member organization shall become or remain a member organization unless all persons required
(a) Application
This Rule shall apply exclusively (and in lieu of Rule 2341) to the activities of members in connection with variable contracts, to the extent such activities are subject to regulation under the federal securities laws.
(b) Definitions
(1) The term "purchase payment" as used throughout this Rule shall mean the consideration paid at the time of each purchase or
This data provides trading volume in U.S. Treasury securities reported to TRACE for the prior day, week or month. The weekly format was discontinued as of February 2023; weekly format history is available.Treasury Daily Aggregate StatisticsTrading volume in US Treasury Securities reported to TRACE for the prior day.Treasury Monthly Aggregate StatisticsTrading volume in US Treasury Securities
(a) Authority of Adjudicator and FINRA Staff
For the purpose of an investigation, complaint, examination, or proceeding authorized by the FINRA By-Laws or rules, an Adjudicator or FINRA staff shall have the right to:
(1) require a member, person associated with a member, or any other person subject to FINRA's jurisdiction to provide information orally, in writing, or
Last Voting Date: January 12, 1996
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The NASD® invites members to vote to approve amendments to Articles VII and X and to delete Article V of the NASD By-Laws. The last voting date is January 12, 1996. The text of the proposed amendments follows this Notice.
Background
The proposed amendments to
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceMutual FundTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Article III, Sections 26 and 29 of the NASD Rules of Fair Practice. The amendments would revise, simplify, and add a recordkeeping requirement
