SUGGESTED ROUTING*
Senior ManagementLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD Board of Governors has approved a resolution recommending that members consider including a non-SRO arbitration forum in predispute arbitration agreements with customers.
BACKGROUND
In a letter dated May 10, 1990, Richard
Executive SummaryThe purpose of this Election Notice is to notify firms of the upcoming elections to fill vacancies on the FINRA Regional Committees, and the mailing of ballots to eligible firms.As detailed below, the following seats are contested:Midwest Region Committee, District 4 representativeMidwest Region Committee, District 8 representativeNew York Region Committee, District 10
Proposed Rule Change Relating to Revisions to the Definitions of Non-Public Arbitrator and Public Arbitrator
FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
Comments: As both an ETF investor and ETF industry executive, I'm alarmed at FINRA's latest regulatory notice 22-08, which has major implications for both the ETF marketplace and the investing public.
It's not in the public's best interest for FINRA to deliberately limit investment choices or to impose fettered obstacles that intimidate and restrict the retail
TO: All NASD Members and Other Interested Persons
The following is a list of NASD Notices to Members issued during the first quarter of 1986. 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
Notice Number
Date
Topic
86-1
January 2, 1986
Amendments to Venture
Bulletin Board Designated As "Qualifying Electronic Quotation System"
On December 30, 1992, the Securities and Exchange Commission (SEC) granted the NASD's request for interim designation of the OTC Bulletin Board® service (OTCBB) as a "Qualifying Electronic Quotation System" for purposes of certain penny-stock rules that became effective on January 1, 1993. The SEC
Good morning. It’s great to have this opportunity to be with you today.
My colleague in Member Regulation, Sales Practice, Mike Rufino, will be talking about FINRA’s regulatory and examination priorities during the next session, so I won’t steal Mike’s thunder and tell you everything that he is going to say. Rather, I want to take a step back and take this opportunity to talk about something
WASHINGTON— FINRA and NFA recently held a special summit focused on crypto assets and agreed to expand their Memorandum of Understanding (MOU) to address crypto activities that fall within their respective regulatory mandates.
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 3, 1984, 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
