SUGGESTED ROUTING
Legal & ComplianceOperationsSystemsTrading
Executive Summary
On September 12, 1994, the Securities and Exchange Commission (SEC) approved an NASD rule change that amends the Prompt Receipt and Delivery of Securities Interpretation (Interpretation) issued by the NASD Board of Governors under Article III, Section 1 of the NASD Rules of Fair Practice. Specifically,
Proposed Rule Change Relating to National Adjudicatory Council Composition, Member Terms and Election Procedures
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
GUIDANCE
Structured Products
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal and Compliance
Retail
Senior Management
Derivatives
Options
Structured Products
Structured Securities
Executive Summary
As a result of a recent review of members that sell structured
products, NASD staff is concerned that members may not be
fulfilling their sales practice obligations when selling
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, September 5, 1983, in observance of Labor Day. "Regular-Way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way
It has come to FINRA’s attention that the securities listed below have been set up on FINRA’s TRACE system, but have previously also been identified as municipal securities. As a result, transactions in many of these securities have been reported to both TRACE and the MSRB’s Real-Time Transaction Reporting System (RTRS).
In light of the above, FINRA contacted several of these securities’
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to extend for nine months, to April 26, 2006, 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, January 26, 2004, and
Changes to Fees for Cancelling or Rescheduling a Qualification Examination or Regulatory Element Continuing Education Session
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On November 24, 1992, the Securities and Exchange Commission (SEC) announced the adoption of amendments to its Net Capital Rule, Rule 15c3-1 (Rule). Except for the minimum increases scheduled to
Treatment of Commodity Pool Trail Commissions under Rule 2810
