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Executive Summary
The Joint Regulatory Sales Practice Sweep Report recommended that firms should, among other things: adopt stringent procedures for hiring registered representatives; initiate heightened
The Neutral Corner, Volume 6—2008
(a) Compliance with Quoting and Trading Restrictions
(1) Member Compliance
Members shall establish, maintain and enforce written policies and procedures that are reasonably designed to comply with the applicable quoting and trading requirements of the Plan.
(2) FINRA Compliance
FINRA systems will not display quotations in violation of the Plan and this Rule.
(3) Pilot Securities That Drop
The FINRA Board of Governors will consider the following rulemaking items at its February 2013 meeting.
SEC Approves Rule to Establish an Accounting Support Fee to Fund the Governmental Accounting Standards Board
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 21, 1987.
EXECUTIVE SUMMARY
The NASD is requesting comments on proposed amendments to the Rules of Practice and Procedures for the Small Order Execution System (SOES) and to Schedule D to the NASD By-Laws. In pertinent part, the proposed rule amendments would:
(1) prohibit a firm that withdraws, on an unexcused
Read FINRA President and CEO Robert Cook’s email to firms and watch the video report with highlights from the Board of Governors meeting.
08-46 - Interpretive Guidance on Capital Treatment of Introducing Broker-Dealers' Clearing Deposits
<p>Applicability of NASD rules to a member's use of a translator for group retirement plan enrollment presentations.</p>
SEC Approves Increase in the TAF Rate for Sales of Covered Equity Securities
