SUGGESTED ROUTING
Senior Management
Continuing Education
Legal & Compliance
Registration
Training
Executive Summary
On March 3, 1998, the Securities and Exchange Commission (SEC) approved changes to the Continuing Education rules of the National Association of Securities Dealers
SUGGESTED ROUTING
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Veterans' Day And Thanksgiving Day: Trade Date — Settlement Date Schedule
The schedule of trade dates-settlement dates below reflects the observance by the financial community of Veterans' Day, Tuesday, November 11, 1997, and Thanksgiving
SEC Approves Amendments to TRACE Rules and Dissemination Protocols to Disseminate Rule 144A Transactions in TRACE-Eligible Securities and Related Fees
SEC Approves New FINRA Rule 5122 Relating to Private Placements of Securities Issued by a Member Firm or a Control Entity
I M P O R T A N T
MAIL VOTE
Officers * Partners * Proprietors
TO: All NASD Members
Last Voting Date is January 9, 1984
Attached are amendments regarding two separate issues which are being submitted to the membership for a vote. The first issue is that of amendments to the proposed Corporate Financing Rule filing requirements which would exempt from those requirements all debt and equity
FINRA is a not-for-profit, self-regulatory organization dedicated to promoting investor protection and market integrity in a manner that facilitates vibrant capital markets. One of FINRA’s tools for achieving this objective is fair and effective enforcement of our members’ compliance with securities laws and regulations.
FINRA’s highest priority when it identifies misconduct is to seek
Summary
The Securities and Exchange Commission (SEC) has approved a proposed rule change to amend FINRA Rules 2210 (Communications with the Public) and 2241 (Research Analysts and Research Reports) to conform to the requirements of the Fair Access to Investment Research Act of 2017 (FAIR Act).1 The rule change creates a filing exclusion under Rule 2210 for investment fund research reports that
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRDSM) is updated with changes
Changes to Qualification Examination Fees and New Service Charge for Regulatory Element Continuing Education Sessions Taken Outside the United States
Rule Filing Status As Of March 4, 1999
NASD Rule Filing Status
The following is a list of rule filings by the National Association of Securities Dealers, Inc. (NASD® or Association) that are pending at the Securities and Exchange Commission (SEC); recently have been approved and have not been announced in a Notice to Members; or recently have been withdrawn. The information is current as of
