INFORMATIONAL
District Committees And District Nominating Committees
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
District Committee Membership
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
The Audit Committee of the FINRA Board of Governors engaged Lowenstein Sandler LLP to conduct an independent review in connection with a Fulton County, Georgia Superior Court decision vacating an arbitration award in favor of respondent Wells Fargo Clearing Services, LLC. The Court of Appeals of Georgia reversed the Fulton County, Georgia Superior Court decision finding no evidence of an agreement between Wells Fargo and FINRA. Furthermore, the Court of Appeals of Georgia found nothing that indicated Wells Fargo manipulated the arbitrator pool in the subject arbitration.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The Securities and Exchange Commission (
NASD Rule 2110 - Standards of Commercial Honor and Principles of TradeMember ceasing to offer retail brokerage accounts with investment advisory and prime brokerage services may use negative response letters to accomplish the bulk transfer of its retail brokerage accounts to a newly formed broker-dealer.
SUGGESTED ROUTING
Senior Management
Executive Representatives
Legal & Compliance
Operations
Registration
Executive Summary
Through this Notice, the National Association of Securities Dealers, Inc. (NASD®) is informing NASD members of the 1999 District Committee members and the District Nominating Committee members.
Questions concerning this Notice may be directed
The MSRB Markup/Markdown Analysis Report is a monthly report designed to assist firms in their supervision activities by providing transparency into a portion of FINRA's surveillance of fixed income transactions' customer pricing.
The MSRB Markup/Markdown Analysis Report is built upon logic developed to pair purchase and sale transactions reported to EMMA.
ACTION REQUESTED
Intermarket Surveillance Group1
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Blue Sheets
Executive Summary
This Notice to Members reminds member firms that by March 31,
2006, they must complete validation of certain data fields that
firms submit to the Electronic Blue Sheet (EBS) System, as directed
in Notice to Members 05
