Summary
The COVID-19 pandemic significantly affected firms’ day-to-day operations across the securities industry, including requiring firms to transition most or all their staff to remote work environments and implement remote supervisory practices. FINRA is committed to providing guidance, updates and other information to help firms and stakeholders stay informed about the latest regulatory
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 relating to the dissemination of last sale information for transactions of fewer than 100 shares in OTC Equity Securities. Specifically
FINRA has taken disciplinary actions against the following firms and individuals for violations of FINRA rules; federal securities laws, rules and regulations; and the rules of theMunicipal Securities Rulemaking Board (MSRB).
NASD is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Interpretative Material 9216 (Violations Appropriate for Disposition Under Plan Pursuant to SEC Rule 19d-1(c)(2)) (“IM-9216”) to expand the list of violations eligible for disposition under NASD’s Minor Rule Violation Plan (“MRVP”). The MRVP would be amended to include certain rules
Neutral Corner - April 2007
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the fourth quarter of 1986, and the first and second quarters of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506
Fourth Quarter—1986
Notice Number
Monthly Disciplinary Actions November 2017
Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Trading
Executive Summary
The Department of Treasury (Treasury) recently asked the NASD to provide members with the Office of Foreign Assets Control's (OFAC) latest list of persons and entities
ACTION REQUESTED
Required Disclosures For Securities Recommendations
Comment Period Expires August 15, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Analyst Disclosures
Communication With The Public
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment from National
