NASD Regulation, Inc. (NASD Regulation) has taken disciplinary actions against the following firms and individuals for violations of NASDRules; securities laws, rules, and regulations; and the rules of the Municipal Securities Rulemaking Board. Unless otherwise indicated, suspensions will begin with the opening of business on Monday, December 16, 1996. The information relating to matters
(a) Definitions
For purposes of this Rule and any interpretation thereof:
(1) "Options communications" consist of:
(A) "Correspondence." Any "Correspondence" as defined in Rule 2210(a)(2) concerning options.
(B) "Institutional Communication." Any "Institutional Communication" as defined in Rule 2210(a)(3) concerning
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Events Requiring Application
A member shall file an application for approval of any of the following changes to its ownership, control, or business operations:
(1) a merger of the member with another member, unless both are members of the New
Beginning June 26, 2008, all applicants for FINRA membership must use the revised online Form NMA and comply with NASD Rule 1013 (New Member Application and Interview) as amended.
Upcoming Election to Fill FINRA District Committee Vacancies
Customer Option to Choose an All Public Arbitration Panel in All Cases
Sales Practice Obligations for Commodity Futures-Linked Securities
SEC Approves Consolidated FINRA Rule on the Sale of Securities in a Fixed Price Offering
FINRA Adopts Rules on Disruptive Quoting and Trading Activity and Expedited Proceedings
FINRA Requests Comment on Proposed Amendments to Rules Governing Communications With the Public
