INFORMATIONAL
District and National Adjudicatory Council Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the election results for the
District Committees, the District Nominating Committees and the
National Adjudicatory Council (NAC). The
The use of negative response letters to transfer customers serviced by "independent contractor" registered representatives from one introducing broker dealer to another may conflict with a member's obligation to observe high standards of commercial honor and just and equitable principles of trade.
On April 25, FINRA issued an alert to member firms which highlighted a phishing attack using the domain name “@claims-finra.org”. This alert is to warn you about a new, potentially related, phishing attack also purporting to be from FINRA.
INFORMATIONAL
Limit Order Protection
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Registered Representatives
Trading & Market Making
Limit Order Protection
OTCBB
Executive Summary
On February 8, 2001, the Securities and Exchange Commission (SEC) approved new National Association of Securities Dealers, Inc. (NASD®) Rule 6541 (Rule), which, on a pilot
(a) Conditions and Restrictions
(1) Motion for Conditions or Restrictions
Unless otherwise ordered by a Hearing Officer, within 10 days after service of a notice of appeal from, or the notice of a call for review of, a decision issued pursuant to Rule 9268 or Rule 9269 in which the Hearing Panel or, if applicable, the Extended Hearing Panel or the Hearing Officer finds that a Respondent
I M P O R T A N T
Officers * Partners * Proprietors
TO: All NASD Members and Other Interested Persons
Earlier this year, the provisions under the Tax Equity and Fiscal Responsibility Act of 1982 ("TEFRA") with respect to withholding on dividends and interest was repealed by Congress.
Shortly after the repeal of withholding, the Interest and Dividend Tax Compliance Act of 1983 ("
During its March 6 and 7 meeting, the FINRA Board of Governors approved a rule proposal to lower the age at which parties qualify for accelerated arbitration processing and approved the allocation of prior-year fine monies.
The following is a list of firms that have consented to making public that they have filed an MC-400A Application as a result of the SEC's MCDC Initiative.
Executive Summary
FINRA recently held annual elections to fill vacancies on the Small Firm Advisory Committee (SFAC) and the Regional Committees.1 Additionally, at its December meeting, the FINRA Board of Governors (FINRA Board) appointed several individuals to fill other vacancies on the SFAC and the National Adjudicatory Council (NAC). This Notice lists the individuals recently elected and
SUGGESTED ROUTING
Senior Management
Institutional
Legal & Compliance
Systems
Trading
Executive Summary
On June 29, 1994, the Securities and Exchange Commission (SEC) approved a proposed Interpretation to Article III, Section 1 of the NASD Rules of Fair Practice that
