INFORMATIONAL
Corporate Debt Securities Transaction Reporting
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination
Operations
Rule 6200 Series
Transaction Reporting
Executive Summary
INFORMATIONAL
Imposition And Collection Of Monetary Sanctions
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Disciplinary Actions
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The purpose
INFORMATIONAL
Trading Activity Fee
SUGGESTED ROUTING
KEY TOPICS
Senior Management
Legal and Compliance
Operations Managers
Fees
NASD By-Laws
Executive Summary
On May 30, 2003, the Securities and Exchange Commission ("SEC" or "Commission") approved revisions to NASD By-Laws, eliminating the current
Final Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
Executive Summary
On May 17, 2002, the Securities and Exchange Commission (SEC) approved a rule change requiring members to obtain a signed Subordination Agreement Investor Disclosure Document (Disclosure Document) from each investor before entering into a subordination agreement with that investor.
The Disclosure Document requirement, the text of which is provided in Attachment A, becomes
Just over one year ago, FINRA launched the Innovation Outreach Initiative as part of FINRA360, our comprehensive organizational review. The Initiative began an ongoing dialogue with industry participants, investor advocates and policy makers centered on the implications of financial technology (fintech) for the broker-dealer industry.
Help for Arbitrators
I don’t know how to register for the DR Portal
I’m having trouble registering for the DR Portal
I’m having trouble uploading documents to or downloading documents from the DR Portal
Help for Parties
I’m a Claimant who filed a Statement of Claim but I can’t access the case on the DR Portal
I’m Claimant’s counsel and I can’t access the case on the DR Portal
I’m a
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
Supervisory Personnel
Training
Executive Summary
On March 5, 1997, the Securities and Exchange Commission (SEC) approved amendments to NASD® IM-2210-3 (Guidelines) to allow for the use by members and associated persons in advertisements and sales literature of investment
Summary
FINRA and the other U.S. members of the Intermarket Surveillance Group1 (ISG members) have updated certain data elements for Electronic Blue Sheets (EBS) to reflect the SEC’s December 21, 2018 approval of MIAX Emerald and the name change of Chicago Stock Exchange to NYSE Chicago, Inc. The updates are effective immediately.
Attachments A and B to this Notice set forth the EBS record
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
