Regulatory Relief
PLEASE NOTE: The FINRA rulebook currently consists of both NASD Rules and certain NYSE Rules that FINRA has incorporated, including the NYSE rules referenced in this Notice. The incorporated NYSE Rules apply solely to members of FINRA that are also members of NYSE on or after July 30, 2007, referred to as "Dual Members." Dual Members also must comply with NASD Rules.
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) recently adopted seven rules ("Rules") under the Securities Exchange Act of 1934 requiring broker/dealers engaging in certain recommended
Notice of FINRA District Committee Elections and Ballots
FINRA is a not-for-profit, self-regulatory organization (SRO) dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our member firms’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to
SUGGESTED ROUTING
Senior ManagementInstitutionalInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD is publishing this Notice to remind members that new Section 46 of Article III of the Rules of Fair Practice requiring members holding open orders to adjust the price and size of such orders by the amount of any dividend, payment, or distribution on
SUGGESTED ROUTING
Senior ManagementCorporate DebtInstitutionalLegal & ComplianceMunicipalOperationsSystemsTrading
Executive Summary
On March 18, 1993, the Securities and Exchange Commission (SEC) approved NASD rules regarding quotation- and transaction-reporting requirements for members trading high-yield, fixed-income securities. The following Notice answers some commonly
SUGGESTED ROUTING*
Internal Audit
Legal & Compliance
Mutual Fund
Operations
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to subsections (b)(7) — Definitions
Nomination and Election Process to Fill FINRA District Committee Vacancies
TO: All NASD Members and Other Interested Persons
Existing Limited Representative Examinations
Investment Company Products/Variable Contracts
Direct Participation Programs
Municipal Securities
Option Securities*
Products Covered in Proposed Corporate Securities United Representative Examinations
Common and Preferred Stock
Corporate Debt Issues
Stock Rights and Warrants
Foreign Securities and
Upcoming Election to Fill FINRA District Committee Vacancies
