NASD has filed with the SEC a proposed rule change to extend for nine months, to July 26, 2005, the operation of NASD’s Alternative Display Facility (“ADF”) on a pilot basis. The ADF pilot program, as approved by the SEC on July 24, 2002, and extended on April 17, 2003 and January 26, 2004, will expire on October 26, 2004. The pilot permits members to quote and trade only
New members have been appointed to the Board of Directors of the non-profit FINRA Investor Education Foundation (FINRA Foundation), and Jonathan Sokobin has been named Chair, effective February 12, 2024.
Obligation to Report Cancellations of OTC Trades in Equity Securities, Including Trades Declined by the Contra Party
GUIDANCE
Discovery-Related Motions
Effective Date: September 26, 2005
SUGGESTED OUTING
KEY TOPICS
Legal & Compliance
Discovery-Related Motions
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure (Code)
Comment Period Expires August 31, 1993
SUGGESTED ROUTING
Senior ManagementInstitutionalLegal & ComplianceSyndicateSystemsTrading
Executive Summary
As part of its ongoing efforts to ensure investor protection and enhance market quality, the NASD® Board of Governors, at its July 16, 1993 meeting, approved issuance of a Notice to Members soliciting comment on its action to
Consolidated Audit Trail (CAT)Best ExecutionDisclosure of Routing InformationRegulation SHO – Bona Fide Market Making ExemptionsFixed Income – Fair PricingOTC Quotations in Fixed Income Securities NEW FOR 2024Advertised Volume NEW FOR 2024Market Access Rule NEW FOR 2024Previous:Variable AnnuitiesUp:Market IntegrityNext:Consolidated Audit Trail (CAT)
(a) All capital acquisition brokers and applicants for membership in FINRA as a capital acquisition broker are subject to NASD Rule 1013.
(b) An applicant for membership that seeks to qualify as a capital acquisition broker must state in its application that it intends to operate solely as a capital acquisition broker.
Adopted by SR-FINRA-2015-054 eff. April 14, 2017
INFORMATIONAL
Membership And Registration Rules
Series 24, 26, And 62 Modified
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Training
Corporate Securities Limited Representative (Series 62)
General Securities Principal (Series 24)
Investment Company Products/Variable Contracts Limited Principal
Comment Period Expires: October 31, 1997
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM)
The Market Access Controls section of the 2017 Report on Exam Findings informs member firms’ compliance programs by describing recent findings and observations from FINRA’s examinations, and, in certain cases, also providing a summary of effective practices.
