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5131. New Issue Allocations and Distributions
(a) Quid Pro Quo Allocations No member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member. (b) Spinning (1) No member or person associated with a member may allocate shares of a new issue to any account in which
5131. New Issue Allocations and Distributions
(a) Quid Pro Quo AllocationsNo member or person associated with a member may offer or threaten to withhold shares it allocates of a new issue as consideration or inducement for the receipt of compensation that is excessive in relation to the services provided by the member.(b) Spinning(1) No member or person associated with a member may allocate shares of a new issue to any account in which an
Broker Dealer Firms We Regulate - M
M FINANCIAL SECURITIES MARKETING, INC.1125 NW COUCH STREET, SUITE 900, PORTLAND, OR 97209M HOLDINGS SECURITIES, INC.1125 N.W. COUCH STREET, SUITE 900, PORTLAND, OR 97209Mailing Address: P.O. BOX 2207, PORTLAND, OR 97208-2207M STEVENS SECURITIES, LLC3753 HOWARD HUGHES PARKWAY, SUITE 200, LAS VEGAS, NV 89169M&A SECURITIES GROUP, INC.4151 N. MULBERRY DRIVE, SUITE 252, KANSAS CITY, MO 64116M
Regulatory Notice 14-50
FINRA Requests Comment on a Proposal to Establish a “Pay-to-Play” Rule
Notice To Members 93-81
SUGGESTED ROUTING Senior ManagementLegal & ComplianceTradingTraining Executive Summary Members are reminded that commission charges to customers in agency transactions are fully subject to all provisions of Article III, Section 4 of the NASD Rules of Fair Practice. As such, the NASD 5% Policy applies as equally to commissions on agency trades as it does to markups or
Regulatory Notice 17-04
SEC Approves Amendments to the Customer and Industry Codes of Arbitration Procedure Broadening Chairperson Eligibility in Arbitration
Regulatory Notice 15-27
Guidance Relating to Firm Short Positions and Fails-to-Receive in Municipal Securities
Notice to Members 04-20
GUIDANCEIPO Distribution ManagerVoluntary Effective Date: March 23, 2004Mandatory Effective Date: April 16, 2004SUGGESTED ROUTINGKEY TOPICSCorporate FinancingInstitutionalLegal & ComplianceOperationsSenior ManagementSyndicateTrading & Market MakingTrainingFree-Riding and WithholdingIPO Distribution ManagerIPOsRetentionRule 2790Underwriting CommitmentExecutive SummaryTo coincide
Notice to Members 00-46
INFORMATIONAL Series 55 — Equity Trader Examination SUGGESTED ROUTING KEY TOPICS Executive Representatives Legal & Compliance Registration Senior Management Trading & Market Making Training Equity Trader Proprietary Trading Series 55 Examination     Executive Summary &
Broker Dealer Firms We Regulate - A
A. P. SECURITIES, INC.15 WATERVIEW DR, CENTERPORT, NY 11721Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721A.BRIDGE REALVEST SECURITIES CORPORATION244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656A.G. QUINTAL INVESTMENT COMPANY INC.2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316A.G.P. / ALLIANCE GLOBAL PARTNERS88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880A5 SECURITIES LLC375 WEST END AVE UNIT 10D,