The staff granted an exemption from NASD Rule 2790 with respect to purchases of “new issues” by the National Railroad Retirement Investment Trust.November 9, 2006Marianne McKeon, Esq.Dewey Ballantine LLP1301 Avenue of the AmericasRoom 2544New York, New York 10019Re: Request for Exemption from Rule 2790Dear Ms. McKeon:This is in response to your letter dated March 21, 2006, as supplemented by your
SEC Approves Amendments to the Codes of Arbitration Procedure to Establish a $200 Honorarium for Contested Subpoenas or Orders
GUIDANCEOATS Reporting RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementOATSRule 6950 SeriesExecutive SummaryIn Notice to Members (NtM) 04-46 (June 2004), NASD announced that, beginning December 1, 2004, members would be required to use the Combined New Order/Route and Combined New Order/ Execution Reports (
Every member that is a party to a security-based swap with a customer, broker or dealer, or other Counterparty, or who has guaranteed or otherwise become responsible for any other person’s SBS obligations, shall comply with the following requirements, except that a member that is registered as a security-based swap dealer under Exchange Act section 15F shall instead comply with SEA Rule 18a-3.
FINRA Requests Comment on Proposed New Rule Governing Outside Business Activities and Private Securities Transactions
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Department of the Treasury is soliciting comments on proposed amendments to the implementing regulations of the Bank Secrecy Act. Also known as the Currency and Foreign Transactions Reporting Act of 1970, these regulations govern the payment, receipt or transfer of currency or other monetary instruments; the export or import
INFORMATIONAL
FOCUS Reporting
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Internal Audit
Legal & Compliance
Operations
Senior Management
Financial Accounting Standards Board
FOCUS Reports
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has modified the FOCUS Report to include disclosure, pursuant to Financial
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INFORMATIONAL
MSRB Rule G-37 Exemptive Relief
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Internal Audit
Legal & Compliance
Municipal/Government Securities
Senior Management
MSRB Rule G-37 Exemptions
Political Contributions
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) is publishing a National Adjudicatory Council (NAC) decision in which the NAC
FINRA administers access to secure applications for various regulatory purposes. Learn more below about how you can request access to the appropriate systems:Request Access via Super Account Administrator (SAA) FormBroker-Dealers, Capital Acquisition Brokers (CABs), Funding Portals, Investment Advisers, Private Fund Advisers, Regulators and Service ProvidersCreate Your Own Account (Register New