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-
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On March 14, 1984, the United States District Court for the Southern District of New York 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,
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On February 1, 1984, the United States District Court for the Southern District of New York appointed a SIPC trustee for the above captioned firm.
Members may use the "immediate close-out" procedures as provided in Section 59(1) 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 January 23, 1984, the United States District Court for the Southern District of New York 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
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceGovernment SecuritiesInstitutionalInternal AuditLegal & ComplianceMunicipalOperationsSyndicateTradingTraining*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
On September 4, 1992, the Securities and Exchange Commission (SEC) approved amendments to Section 4 of the NASD® Uniform
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Im writing to provide strong rebuke of FINRAs Regulatory Notice 22-08 and its attempt to limit investors/traders (I/Ts). What FINRA is proposing is tantamount to treating I/Ts like immature children. Its highly evident in the statement FINRA released: However, important regulatory concerns arise when investors trade complex products without understanding their unique characteristics and risks.
The United States has always been the land of opportunity; "if you can make it here, you can make it anywhere." I strongly believe that America offers a very unique circumstance for the common man to lift himself up by his bootstraps and become the king of his domain and obtain the kind of wealth that can set a man for life and even change his family tree. Institutions are created by
