SUGGESTED ROUTING
Internal AuditOperationsSystemsTrading
As of March 23, 1993, the following 55 issues joined the Nasdaq National Market,® bringing the total number of issues to 3,032:
Symbol
Company
Entry Date
SOES Execution Level
CMPO
Campo Electronics Appliances & Computers Inc.
2/24/93
1000
FSOU
First Southern Bancorp, Inc.
2/24/93
500
PENVF
Philip
On This PageForm U4 Explanation of TermsForm U5 Explanation of TermsForms BD & BDW Explanation of TermsForm BR Explanation of TermsForm U4 Explanation of TermsThe following definitions apply to terms that are italicized in Form U4:AffiliatedMeans under common ownership or control.Affiliated FirmMeans a broker-dealer under common ownership or control with the filing firm.ApplicantMeans the
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May 17, 2006
Dear NASD Member:
As you know, there have been numerous events that have greatly impacted the industry in recent years. These events have resulted in new and amended regulations implemented by Congress, the SEC, or NASD for which we must examine. Since NASD conducts routine examinations of firms on one, two, and four year
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of September 14, 1989, the following 13 issues joined the NASDAQ National Market, bringing the total number of issues to 2,727
SUGGESTED ROUTING*
Internal AuditLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Department of Treasury recently finalized two amendments to the Bank Secrecy Act (the Act) regulations. One amendment adds a definition of "structuring" to the anti-structuring provision, which prohibits
TO: All NASD Members and Other Interested Persons
ATTN: REGISTRATION, TRAINING AND COMPLIANCE PERSONNEL AND BRANCH OFFICE MANAGERS
The recently enacted Tax Reform Act of 1986 (the "Act") will impact the subject matter of the qualification examinations administered by the NASD. Existing test items affected by these changes will be modified to reflect the new provisions of the Act on
Mr. Chairman and Members of the Subcommittee: NASD would like to thank the committee for the invitation to submit this written statement for the record.
Summary
FINRA has adopted amendments to its rules to clarify the application of FINRA rules to security-based swaps (SBS):1
FINRA has adopted a new Rule 0180 (Application of Rules to Security-Based Swaps), which, along with conforming amendments to Rule 9610 (Procedures for Exemptions—Application), will become effective February 6, 2022. The new rule replaces the expiring temporary Rule 0180
Summary
In February 2019, FINRA published Regulatory Notice 19-06, launching a retrospective review of Rule 4370 (Business Continuity Plans and Emergency Contact Information) to assess its effectiveness and efficiency (the BCP Rule Review). The COVID-19 pandemic, beginning in early 2020, caused unprecedented regulatory and operational impacts on member firms and other market participants, as
Summary
Member firms are required to make reasonable efforts to obtain the name of and contact information for a trusted contact for a non-institutional customer’s account. This Notice summarizes member firms’ regulatory obligations, discusses the benefits of trusted contacts in administering customers’ accounts, highlights customer education resources and shares effective practices member firms
