Clarification Of Notice To Memers 98-10
NASD Notice to Members 98-10 (January 1998) entitled "Transaction Reporting And Quotation Obligations Under the Fixed Income Pricing System (FIPS)" contained a question and answer concerning compliance officers and the need for firms to report all transactions under The Nasdaq Stock Market, Inc., Fixed Income Pricing SystemSM (FIPSSM), regardless
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Operations
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Article III, Section 15 of the NASD® Rules of Fair Practice. The amendment permits NASD members to use negative-response letters in bulk exchanges of money market mutual
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
COMMENTS MUST BE RECEIVED BY NOVEMBER 8, 1984
The Association's Board of Governors has approved for membership comment a proposed amendment to Appendix F to Article III, Section 34 of the Rules of Fair Practice. Appendix F contains rules and regulations relating to public offerings of
• Customer Confirmations—Failure to Comply With Rule Requirements
• Customer Protection Rule—Failure to Comply With Rule Requirements
• Net Capital Violations
• Recordkeeping Violations
• Regulation T and Margin Requirements—Violations of Regulation T and/or FINRA Margin
The SDP was designed to provide members of the uniformed services in designated combat zones an opportunity to build their financial savings.
FINRA departments also create specific subject-matter committees as needed to consult on various issues. Approximately 55 individuals participate on these committees that serve as important advisory bodies within FINRA’s regulatory framework.
REQUEST FOR COMMENT
Rule Harmonization
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing Legal & Compliance
Registration
Senior Management
Branch Office
Initial Public Offering
Office of Supervisory Jurisdiction
Registration
Rule 2711 (Research Analysts and
Research Reports)
Rule 3010 (Supervision)
Rule Harmonization
ACTION REQUESTED
Corporate Financing
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Operations
Senior Management
Systems
Corporate Financing
Electronic Form Filing
Executive Summary
On April 9, 2002, the Securities and Exchange Commission (SEC or Commission) approved amendments to NASD Conduct Rule 2710 (the Corporate Financing Rule
Publication Date: February 23, 2023
Interpretations are marked in blue background beneath the rule text to which they relate.
15c3-1a Options (Appendix A to 17 CFR 240.15c3-1).
15c3-1a(a) Definitions.
15c3-1a(a)(1) The term unlisted option shall mean any option not included in the definition of listed option provided in paragraph (c)(2)(x) of § 240.15c3-1.
15c3-1a(a)(2) The term option
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to Appendix F under Article III, Section 34 of the Rules of Fair Practice and Schedule D to the NASD By-Laws. The amendments would restrict member participation
