SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
As of November 26, 1993, the following 105 issues joined the Nasdaq National Market®, bringing the total number of issues to 3,412:
Symbol
Company
Entry Date
SOES Execution Level
DUCR
Duracraft Corp.
10/26/93
1000
ISCO
Illinois Superconductor Corporation
10/26/93
1000
KAMNZ
Kaman Corporation (Dep
As far back as the 1940s, an artificial intelligence (AI) technology revolution has forever been just around the corner. Today, with significant advancements in technologies like machine learning, natural language processing and computer vision, and new customer applications like virtual assistants, that revolution is in many respects here. Not with a single, loud bang, but rather through a
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Training
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved an amendment to the Code of Procedure that would create a new procedure
Failure of the seller to meet the requirements of good delivery relating to bonds and similar evidences of indebtedness, as set forth in paragraphs (a) through (h) of this Rule inclusive, shall make the seller liable for any expense incurred as a result of such failure.
(a) Coupon Bonds
A coupon bond shall have securely attached in the correct place proper coupons, warrants, etc., of
OverviewHow to Request an Addition to the Eligible Multifamily ProgramsAdditional Eligible Multifamily ProgramsOverviewRule 4210(e)(2)(H)(ii)a.2. provides that: “[A] member is not required to include a counterparty’s Covered Agency Transactions in multifamily housing securities or project loan program securities in the computation of such counterparty’s net mark to market loss, provided
Every investor in America relies on one thing: fair financial markets. To protect investors and ensure the market’s integrity, FINRA FINANCIAL INDUSTRY REGULATORY AUTHORITY is a not-for-profit organization that oversees U.S. broker-dealers. We work every day to ensure that everyone can participate in the market with confidence.
TO: All NASD Members and Other Interested Persons
SUMMARY
Recently, in response to a request by the Association, the staff of the SEC's Division of Market Regulation issued a no-action letter concerning 17 C.F.R. 240.15c3-l (the "net capital rule") and 17 C.F.R. 240.15c3-3 (the "customer protection rule"). The letter provides, until December 31, 1983, a temporary
I M P O R T A N T
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
BACKGROUND
On April 18, 1983, the Securities and Exchange Commission issued Release No. 34-19687 announcing the adoption of changes to Rule 10b-10 under the Securities Exchange Act of 1934 (17 CFR 240 lOb-10), the "securities confirmation rule," (the "Rule"). Rule 10b-10 requires broker-dealers to send
This rule is no longer applicable. NASD Rule 2340 has been superseded by FINRA Rule 2231. Please consult the appropriate FINRA Rule.
(a) General
Except as otherwise provided by paragraph (b), each general securities member shall, with a frequency of not less than once every calendar quarter, send a statement of account ("account statement") containing a description of any securities
Capital Acquisition Brokers (CABs) are firms that engage in a limited range of activities, which can include advising companies and private equity funds on capital raising and corporate restructuring and acting as placement agents for the sale of unregistered securities to institutional investors under limited conditions. CABs are not permitted, among other things, to carry or maintain customer
