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Regulatory Notice 14-47
FINRA Requests Comment on a Proposal to Tighten Business Clock Synchronization Requirements
Notice To Members 83-31
TO: All NASD Members The Board of Governors of the Federal Reserve System has adopted a number of important revisions to Regulation T. These amendments are effective on November 21, 1983; however, at their option, members may elect to operate under the revised provisions after June 20, 1983. A detailed summary of the major revisions and the text of the amended rule follows. These changes to
Regulatory Notice 15-52
SEC Staff Provides Insight Into Firms’ Obligations When Providing Stock Quote Information to Customers
411. Capital Compliance
(a)(1) Unless otherwise permitted by FINRA, a capital acquisition broker must suspend all business operations during any period in which it is not in compliance with applicable net capital requirements set forth in SEA Rule 15c3-1. (2) FINRA may issue a notice pursuant to FINRA Rule 9557 directing a capital acquisition broker that is not in compliance with applicable net capital
Regulatory Notice 15-50
SEC Approves Rule Requiring Members’ Websites to Include a Readily Apparent Reference and Hyperlink to BrokerCheck
Notice To Members 92-32
SUGGESTED ROUTING:* Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The NASD requests comments on a proposed amendment to the Rules of Fair Practice to require members entering into clearing or carrying agreements to specify the obligations and supervisory responsibilities of both the
Notice To Members 95-77
SUGGESTED ROUTING Internal Audit Legal & Compliance Municipal Operations Syndicate Systems Trading The schedule of trade dates-settlement dates below reflects the observance by the financial community of Columbus Day, Monday, October 9, 1995. On this day, The Nasdaq Stock Market™ and the securities exchanges will be open for trading. However, it will not be a settlement date
Regulatory Notice 14-19
FINRA Requests Comment on a Revised Proposal to Require a Hyperlink to BrokerCheck in Online Retail Communications With the Public
Notice to Members 00-11
INFORMATIONAL FIPS Changes SUGGESTED ROUTING KEY TOPICS Corporate Finance Legal & Compliance Municipal/Government Securities Operations Senior Management Trading & Market Making FIPS As of December 23, 1999, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®). Symbol Name Coupon Maturity AMKR.GB Amkor Technology Inc. 9.250
Interpretive Letter to Name Not Public
Staff interpretation of the continuing commissions policy codified in NASD IM-2420.