SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
On December 10, 1997, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules governing market maker withdrawals and
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Wednesday, December 25, 1985, Christmas Day, and Wednesday, January 1, 1986, New Year's Day. "Regular-way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Tuesday, December 25, 1984, Christmas Day, and Tuesday, January 1, 1985, New Year's Day. "Regular Way" transactions made on the preceding business days will be subject to the settlement date schedule listed below.
Trade Date-
ACTION REQUIRED
Renewal fees for the year 2000 for all participating regulators are due NO LATER than December 10, 1999.
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
The Suggested Routing function is meant to aid
Summary
FINRA has received an increasing number of reports regarding registered representatives and associated persons (representatives) forging or falsifying customer signatures, and in some cases signatures of colleagues or supervisors, through third-party digital signature platforms. Firms have, for example, identified signature issues involving a wide range of forms, including account
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a proposed revision to an amendment to Article ill, Section 35 of the NASD Rules of Fair
"Fines" = "hush money". Put the illegal shorters in jail SOON! Stop building your evidence because it's already been done for you via Overstock.com via gamestop via New Mexico vs. Banks. If the policies are preventing prosecution, put a vote to change them. Not next election, TODAY! This conflict of interest happening with your revolving door has got to stop TODAY! These
Member firms that fail to repair and resubmit rejected ROEs may be in violation of NASD Rule 6955 and may also be considered to be in violation of NASD Rule 2110.
FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades
FINRA 21-19 is a long overdue change. It is clear that the integrity of the United States market has been strained to the edge of disaster, in large part due to systemic risk developed under the regulatory authority of FINRA's outdated short interest reporting policy. While many of the policies mentioned in Regulatory Notice 21-19 address the general breadth of exploitable and ineffective
