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Notice To Members 89-23
SUGGESTED ROUTING* Senior Management Legal & Compliance Operations Registration Training *These are suggested departments only. Others may be appropriate for your firm. IMPORTANT MAIL VOTE EXECUTIVE SUMMARY The NASD invites members to vote on proposed amendments to
Notice To Members 89-25
SUGGESTED ROUTING* Corporate FinanceInternal AuditOperations *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities Investor Protection Corporation has reimposed assessments based on gross revenues. The assessment rate of three-sixteenths of one percent (.001875) went into effect January 1, 1989. BACKGROUND Last summer, the Board of
Notice To Members 90-52
SUGGESTED ROUTING* Senior ManagementLegal & ComplianceOperationsTraining *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The SEC has approved amendments to Article III, Sections 2 and 21 (c) of the Rules of Fair Practice ("Rules") to require NASD members to make reasonable efforts to obtain additional information
Notice To Members 94-46
SUGGESTED ROUTING Senior ManagementInstitutionalLegal & ComplianceOptionsTrading Executive Summary Given the growing market for over-the-counter (OTC) derivatives, such as OTC options on individual equity securities and stock indexes, and the Securities and Exchange Commission's (SEC) recent approval of increases in option position and exercise limits, the NASD reminds
Regulation
Sec. 4.10  The Board may adopt such rules, regulations, and requirements for the conduct of the business and management of FINRA Regulation not inconsistent with the law, the Restated Certificate of Incorporation, these By-Laws, the Delegation Plan, the Rules of the Corporation, or the By-Laws of FINRA, as the Board may deem proper. A Director shall, in the performance of such Director
12105. Agreement of the Parties
(a) Except as provided in paragraph (b), if the Code provides that the parties may agree to modify a provision of the Code, or a decision of the Director or the panel, the written agreement of all named parties is required. (b) If the Director or the panel determines that a named party is inactive in the arbitration, or has failed to respond after adequate notice has been given, the
452. Assignment of Responsibility for General Ledger Accounts and Supplemental FOCUS Information
(a) Assignment of Responsibility for General Ledger Accounts Each capital acquisition broker must designate an associated person who is responsible for each general ledger bookkeeping account and account of like function used by the broker and such associated person must control and oversee entries into each such account and must determine that the account is current and accurate as
13105. Agreement of the Parties
(a) Except as provided in paragraph (b), if the Code provides that the parties may agree to modify a provision of the Code, or a decision of the Director or the panel, the written agreement of all named parties is required. (b) If the Director or the panel determines that a named party is inactive in the arbitration, or has failed to respond after adequate notice has been given, the Director or
Notice To Members 83-20
TO: All NASD Members and Other Interested Persons Following is a list of NASD Notices to Members issued during the first quarter of 1983. Requests for copies of any notice should be accompanied by a self-addressed label and may be directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D. C. 20006. Notice Number Date Topic 83-1 January 6, 1983 Real-Time Transaction
Regulatory Notice 08-53
FINRA Revises the Effective Date to Collect and Process Certain CRD Numbers in Connection with Regulation T and SEC Rule 15c3-3 Extensions of Time Requests