TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 13, 1984, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on January 31, 1984.
Members may use the "immediate close-out" procedures as provided in Section 59(1
TO: ALL NASD MEMBERS
ATTN: Operations Officer, Cashier, Fail-Control Department
On December 15, 1983, the United States District Court for the Southern District of New York appointed a SIPC trustee for the above captioned firm. Previously, a temporary receiver had been appointed for the firm on December 8, 1983.
Members may use the "immediate close-out" procedures as provided in
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Monday, July 11, 1983, the United States District Court for the Central District of California appointed a SIPC Trustee for the above-captioned firm. Previously, a temporary receiver had been appointed for the firm on July 1, 1983.
Members may use the "immediate close-out" procedures as provided in
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Friday, May 27, 1983, the United States District Court for the Western District of Pennsylvania, appointed the Securities Investor Protection Corporation as Trustee for MBD Investors, Inc.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On Thursday, February 10, 1983, the United States District Court for the Northern District of Ohio, Western Division, appointed a SIPC Trustee for the above-captioned firm. Previously, a temporary receiver had been appointed for the firm on February 5, 1983.
Members may use the "immediate close-out"
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
FINRA and ISG Delay Effective Date for Enhanced Electronic Blue Sheet Submissions
TO: All NASD Members, NASDAQ Foreign Issuers and Other Interested Persons
The NASD has adopted revisions to Section C of Part II of Schedule D under Article XVI of the By-Laws which contains eligibility and authorization requirements for inclusion of foreign issues on the NASDAQ System. These revisions to the qualification requirements were formulated in response to the strong concern expressed
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Executive Summary
The obligation of NASD® members under the Rules of Fair Practice with respect to mutual fund sales practices is a continuing concern of the NASD. The proliferation of new mutual funds and varied fee structures has significantly increased the options available for
