Comment Period Expires January 31, 1995
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceRegistration
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) requests comments on a proposed amendment to Article III of the Rules of Fair Practice (Rules) to require members to report to the NASD the occurrence of specified events and quarterly summary
Comment Period Expires October 17, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceInternal AuditLegal & ComplianceOperationsSystemsTrading
Executive Summary
The NASD® requests comment on a proposal to require the use of Standard Transferor and Transferee Applications for Transfer of Direct Participation Programs (DPP) Securities, Standard Registration Confirmation Form,
Summary
FINRA has amended Rule 11880 (Settlement of Syndicate Accounts) to revise the syndicate account settlement timeframe for offerings of corporate debt securities. The amendments to Rule 11880 establish a two-stage syndicate account settlement process whereby the syndicate manager is required to remit to each syndicate member at least 70 percent of the gross amount due to such syndicate
Proposed Rule Change to Amend FINRA Rule 6710 to Modify the Definition of “Agency Debt Security”
We selected the topics in this Report for their interest to the largest number of member firms; consequently, they may include areas that are not relevant to an individual member firm and omit other areas that are applicable.
FINRA advises each member firm to review the Report and consider incorporating relevant elements into its compliance program in a manner tailored to its activities. The
Background
Until mid-2017, FINRA maintained two distinct enforcement teams within the organization—one handling disciplinary actions related to trading-based matters found through our market surveillance and trading examination programs, and the other handling cases referred from other regulatory oversight divisions within FINRA, such as sales practice examinations and our Office of Fraud
FINRA's highly-qualified national roster of mediators helps investors, brokerage firms and brokers effectively resolve their securities disputes.
We seek mediators with significant and relevant mediation experience and subject matter knowledge. We strive for our roster to be reflective of the communities that we serve, and we are committed to increasing its diversity.
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(a) No member shall execute or cause to be executed or participate in an account for which there are executed purchases of any NMS stock as defined in Rule 600(b) of SEC Regulation NMS ("designated security") at successively higher prices, or sales of any such security at successively lower prices, for the purpose of creating or inducing a false, misleading or artificial appearance of
Proposed Rule Change to Update Rule Cross-References and Make Non-Substantive Technical Changes to Certain FINRA Rules
