SUGGESTED ROUTING
Senior ManagementLegal & ComplianceMutual Fund
Executive Summary
Since the Securities and Exchange Commission (SEC) approved new NASD® rules governing investment company sales charges on July 7, 1992, the NASD has fielded numerous questions from member firms and mutual funds concerning the interpretation and application of these rules. In anticipation of
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) proposed amendments to FINRA Rules primarily to provide FINRA with temporary relief from certain timing, method of service and other procedural requirements during the period in which FINRA’s operations are impacted by the outbreak of the coronavirus disease (COVID
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the
nominees for the District Committees and the District Nominating
Committees.1 The individuals identified in this
H & L EQUITIES, LLC1175 PEACHTREE ST., NE, SUITE 2200, ATLANTA, GA 30361-6206H. C. DENISON CO.618 NORTH 7TH STREET, SHEBOYGAN, WI 53081Mailing Address: P.O. BOX 28, SHEBOYGAN, WI 53082-0028H.C.WAINWRIGHT & CO., LLC430 PARK AVENUE, 4TH FLOOR, NEW YORK, NY 10022HAITONG INTERNATIONAL SECURITIES (USA) INC.1460 BROADWAY, SUITE 11017, NEW YORK, NY 10036HALEY SECURITIES, INC.8712 WEST
Instructions for Completion and Submission
The ADR Company-Related Action Notification Form is available through an electronic notification system. FINRA does not accept paper, email or facsimile copies of this form. To submit a company-related action through the electronic notification system click on ADR Company-Related Action.
Select the “ADR Company-Related Action Notification
Filing your income taxes can be confusing enough, but special tax rules, exclusions, extensions and deployment can make tax season even more difficult for military members and their families. Fortunately, free tax assistance is available both online and on your installation.
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
(a) Filing Claim with the Director
To initiate an arbitration, a claimant must file the following with the Director:
(1) Signed and dated Submission Agreement; and
(2) A statement of claim specifying the relevant facts and remedies requested.
The claimant may include any additional documents supporting the statement of claim.
(b) Fees
At the time the
I M P O R T A N T
TO: All NASD Members
SUMMARY
The Securities and Exchange Commission has published for comment a proposed rule addressing the issue of exchange and over-the-counter market makers internalizing customer orders in Rule 19c-3 securities and whether inter market exposure of customer orders should be required. Internalization has been defined by the Commission as a dealer executing
In observance of Christmas and New Year’s Day, the ORF System will follow the schedule below:
Thursday, December 24, 2020 Early Close
Friday, December 25, 2020 &
