TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 25, 1986, the United States District Court for the District of New Jersey appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts. Also, MSRB
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
On April 22,1997,the Securities and Exchange Commission (SEC) approved amendments to the Interpretation on the Release of Disciplinary Information (NASD® IM-8310-2).These amendments authorize the release of public information on disciplinary complaints and non-final disciplinary
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On January 27, 1986, the United States District Court of Pennsylvania, Eastern Division, appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts.
TO: All NASD Members
ATTN: Operations Officer, Cashier Fail-Control Department
On October 4, 1985, the United States District Court for the Southern District of Florida, Miami Division, appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On July 30, 1985, the United States District Court for the Southern District of New York appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts
Summary
In February 2012, pursuant to an SEC order, FINRA established an accounting support fee (GASB Accounting Support Fee) to adequately fund the annual budget of the Governmental Accounting Standards Board (GASB). The GASB Accounting Support Fee is collected on a quarterly basis from member firms that report trades to the Municipal Securities Rulemaking Board (MSRB). Each member firm’s
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 7, 1985, the United States District Court for the Southern District of New York appointed a Temporary Receiver for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On May 3, 1985, the United States District Court for the Central District of California appointed a SIPC Trustee for the above-captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i)(2) of the NASD's Uniform Practice Code to close out open OTC contracts. Also,
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On November 30, 1984, the United States District Court for the District of Colorado appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On June 7, 1984, the United States District Court for the District of Colorado appointed a SIPC Trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(i) of the NASD's Uniform Practice Code to close-out open OTC contracts. Also, MSRB Rule G-
