GUIDANCE
Supervision of Recommendations after a Registered Representative Changes Firms
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal and Compliance
Operations
Senior Management
Mutual Funds
Registered Representatives
Rule 11870
Supervision
Variable Products
Executive Summary
Registered representatives with an established customer base
may, from time to time,
GUIDANCE
Security Futures Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registered Principals
Senior Management
Continuing Education
Rule 1022 (Categories of Principal
Registration)
Rule 1032 (Categories of
Representative Registration)
Security Futures
Executive Summary
On October
Good morning. I am delighted to be with you today. Before I begin, I just want to say a few words about Marc Lackritz. Marc, this may be your last annual conference as CEO and President of SIFMA, but the work you have done, and its impact on the markets, is going to be felt for a long time to come.
GUIDANCE
Business Expansions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Business Expansions
IM-1011-1
Material Change in Business
Operations
Rule 1017
Safe Harbor
Executive Summary
On August 7, 2006, the Securities and Exchange Commission
(SEC) approved amendments to Interpretative Material 1011-1
(Safe Harbor for Business Expansions) (IM
SEC Approves Amendments to FINRA Rule 9251 to Explicitly Protect From Discovery Those Documents That Federal Law Prohibits FINRA From Disclosing
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
As of October 21, 2001, the following bonds were added to the Fixed Income Pricing System (FIPSSM).
Symbol
Name
Coupon
Maturity
ADLA.GS
Adelphia Communications Corp
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).
GUIDANCE
Trade Reporting and Compliance Engine (TRACE)
Effective Date: October 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Registered Representatives
Senior Management
Technology
Training
Debt Securities
Operations
Rule 7010
Transaction Reporting
Executive Summary
On August 1, 2005
INFORMATIONAL
FIPS Changes
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Municipal/Government Securities
Operations
Senior Management
Trading & Market Making
FIPS
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
(a) Notice of Suspension, Cancellation or Bar(1) If a member, person associated with a member or person subject to FINRA's jurisdiction fails to comply with a temporary or permanent cease and desist order issued under the Rule 9200, 9300 or 9800 Series, FINRA staff, after receiving written authorization from FINRA's Chief Executive Officer or such other senior officer as the Chief
