Proposed Rule Change Relating to TRACE Reporting and Dissemination of Transactions in Agency Pass-Through Mortgage-Backed Securities Traded To Be Announced
Proposed Rule Change to Amend the By-Laws of FINRA Regulation to Realign the Representation of Industry Members on the National Adjudicatory Council to Follow More Closely the Categories of Industry Representation on the FINRA Board
Financial Industry Regulatory Authority, Inc. (“FINRA”) (f/k/a
National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities
and Exchange Commission (“SEC” or “Commission”) a proposed rule change to adopt
new FINRA Rule 5122.
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On October 30, 1985, the United States District Court of South Carolina, Charleston Division, 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
Neutral Corner - February 2007
Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
SR-FINRA-2008-043 - Proposed Rule Change to Establish a Membership Waive-In Process for Certain NYSE Alternext US LLC Member Organizations
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 16, 1985, the Federal District Court for the Eastern District of Arkansas 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. Also
TO: All NASD Members
ATTN: Operations Officer, Cashier, Fail-Control Department
On April 10, 1985, the United States District Court for the District of New Jersey appointed a Temporary Receiver for the above captioned firms.
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 February 7, 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.
