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Executive Summary
On May 11, 1995, the Securities and Exchange Commission (SEC or Commission) approved amendments to its rules that would implement two alternative methodologies proposed by the securities industry to expedite
Falling victim to a scam carries more than just a financial impact. It can be an isolating experience and exact a mental and emotional toll. On this episode, we hear about the experience of two real life victims and their efforts to recover from their loss with the help of the Cybercrime Support Network.
FINRA Requests Comment on a Proposal to Publish OTC Equity Volume Executed Outside Alternative Trading Systems
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD is publishing Suggested Escrow Agreement Provisions and Suggested Language for Selected Dealer Agreements to assist members and their counsel in complying with SEC Rule 15c2-4.
BACKGROUND AND SUMMARY
Through its review of public offerings of securities conducted by the Corporate Financing Department, the NASD has the
(a) Recusal, Withdrawal of Member or Panelist
If at any time a member of the National Adjudicatory Council, including a member of the Review Subcommittee, a Panelist of a Subcommittee or an Extended Proceeding Committee, or a Counsel to the National Adjudicatory Council determines that the member, the Panelist, or the Counsel to the National Adjudicatory Council has a conflict of interest
For the period of 1/1/2025 through 1/31/2025AAIA SECURITIES LAIA SECURITIES LLCIRVINE, CA, UNITED STATESRESIGNEDANNEXUS SECURITIANNEXUS SECURITIES, LLCNAME CHANGED TO: INTEGRITY CAPITAL, LLCANNEXUS SECURITIINTEGRITY CAPITAL, LLCNEW NAME OF: ANNEXUS SECURITIES, LLCAQUILA DISTRIBUTAQUILA DISTRIBUTORS LLCNEW YORK, NY, UNITED STATESRESIGNEDARTA FINANCE SECARTA FINANCE SECURITIES LLC153 CASTRO STREET
Since 2018, FINRA’s and the Municipal Securities Rulemaking Board’s (MSRB) amendments to FINRA Rule 2232 (Customer Confirmations) and MSRB Rule G-15 have required firms to provide additional transaction-related information to retail customers for certain trades in corporate, agency and municipal debt securities (other than municipal fund securities).
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to its rules, to Schedule D to the NASD By-Laws, and to the NASD's Transaction Reporting Plan, which will have the effect of: (1) requiring NASDAQ/NMS companies to comply with certain standards of corporate governance; (2) moving NASDAQ/NMS designation criteria
