GUIDANCE
Sanction Guidelines
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Systems
NASD Sanction Guidelines
Executive Summary
This Notice advises NASD members of modifications to the NASD
Sanction Guidelines (Guidelines). NASD is amending the quality of
markets guidelines and the guidelines for violations of
INFORMATIONAL
Certificates Of Deposit
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Trading
Operations
Senior Management
Long-Term or Brokered Certificates of Deposit
Executive Summary
Members increasingly have been offering to customers a number of non-traditional certificate of deposit (CD) products. Typically, these products are
SUGGESTED ROUTING
Legal & Compliance
Registration
Systems
Training
Executive Summary
On September 8, 1995, the Securities and Exchange Commission (SEC) approved NASD® Rule 3070 (formerly Article III, Section 50 of the NASD Rules of Fair Practice) (the Rule) for reporting customer complaint information and other specified events to NASD Regulation, Inc. (NASD Regulation). The
SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council) includes 13 members representing a cross section of securities firms and six members from self-regulatory organizations.1 Both the Securities and Exchange Commission
FINRA may, pursuant to the procedures set forth in the Rule 9000 Series, suspend, condition, limit, prohibit or terminate a Trade Reporting Facility Participant's ability to use FINRA/NYSE Trade Reporting Facility services in one or more designated securities for violations of applicable requirements or prohibitions.
Renumbered from Rule 6360C by SR-FINRA-2008-066 eff. Jan. 1, 2009.
FINRA may, pursuant to the procedures set forth in the Rule 9000 Series, suspend, condition, limit, prohibit or terminate a Trade Reporting Facility Participant's ability to use FINRA/Nasdaq Trade Reporting Facility services in one or more designated securities for violations of applicable requirements or prohibitions. For avoidance of doubt, any determination by FINRA to suspend, limit,
SEC Approves Amendments to FINRA Rule 0160 (Definitions) and the Repeal of Incorporated NYSE Rule 2A (Jurisdiction)
FINRA Addresses Firms’ Retail Foreign Currency Exchange Activities
The NASD would like to thank the Subcommittee for this opportunity to testify on organized crime in the securities markets, the scope of the problem and our efforts to address it.
I am pleased to be able to participate in these important public hearings on micro-cap stock fraud. As head of NASD Regulation’s Enforcement Department, my staff and I have had numerous opportunities to work with Andrew Kandel and the fine staff of the New York Attorney General’s Bureau of Investor Protection & Securities.
