When used in these By-Laws, unless the context otherwise requires, the term:
(a) "Act" means the Securities Exchange Act of 1934, as amended;
(b) "Board" means the Board of Directors of FINRA Regulation;
(c) "broker" shall have the same meaning as in Section 3(a)(4) of the Act;
(d) "Commission" means the Securities and Exchange Commission;
(e) "
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 14, 1990, the following 21 issues joined NASDAQ/NMS, bringing the total number of issues to 2,658:
Symbol
Proposed Rule Change to Make Technical and Other Non-Substantive Changes within FINRA Rules
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
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the third quarter of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
87-42
July 1, 1987
NASDAQ National Market
All widows and widowers could benefit from a few basic financial tips to manage their money.
SEC Approves Amendment To Section 65 Of Uniform Practice Code
On November 30, 1994, the SEC approved an amendment to Section 65 of the Uniform Practice Code relating to customer account transfers. The NASD filed the amendments along with other amendments to the NASD's rules designed to implement the SEC's mandate to move to T+3 settlement of securities transactions. Although the SEC
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 18, 1985, 22 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 2,012. These 22 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
