TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, January 20, 1987, 17 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,729. These 17 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, November 18, 1986, 21 issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,658. These 21 issues, which will begin trading under real-time trade reporting, are entering NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for
ACTION REQUIRED
Fee-Based Compensation
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Registered Representatives
Senior Management
Charges for Services Performed
Fee-Based Compensation
NASD Rule 2110
NASD Rule 2430
Executive Summary
Fee-based programs typically charge a customer a fixed fee or percentage of assets
SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On October 31, 1990, the United States District Court for the Middle District of North Carolina appointed a Securities Investor Protection Corporation (SIPC) trustee for:
Carolina First Securities Group514 South Stratford RoadWinston-Salem, North
SUGGESTED ROUTING*
Senior ManagementMunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On September 17, 1990, the United States District Court for the Northern District of Texas, Fort Worth Division, appointed a SIPC trustee for:
DFW Clearing, Inc.3200 City Center II301 Commerce StreetFt. Worth, Texas 76102.
Members may use the
IMPORTANT MAIL VOTE
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members
LAST VOTING DATE IS APRIL 15, 1985
Enclosed herewith is a proposed amendment to Article III, Section 33 of the Rules of Fair Practice. This amendment has been approved by the Association's Board of Governors for submission to the membership for a vote. If approved, the amendment must then be filed with, and approved
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Parts II and III of Schedule C of the NASD By-Laws that will require a member to submit applications for and maintain the registrations of only
SUGGESTED ROUTING*
MunicipalOperationsSystems
*These are suggested departments only. Others may be appropriate for your firm.
On March 7, 1989, the United States District Court for the Eastern District of New York appointed a SIPC Trustee for:
Investors Center, Inc.110 Ricefield LaneHauppauge, NY 11788
Members may use the "immediate close-out" procedures provided for in Section
The Credit Risk Management section of the 2022 Report on FINRA’s Risk Monitoring and Examination Activities (the Report) informs member firms’ compliance programs by providing annual insights from FINRA’s ongoing regulatory operations, including (1) relevant regulatory obligations and related considerations, (2) exam findings and effective practices, and (3) additional resources.
Financial Industry Regulatory Authority, Inc. (“FINRA”) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to extend the effective date of the temporary amendments set forth in SR-FINRA-2020-015 from June 15, 2020 to July 31, 2020. In response to the impacts on FINRA’s operations caused by the outbreak of the coronavirus disease (COVID-19), SR-
