The Neutral Corner, Volume 6—2008
SUGGESTED ROUTING
Senior ManagementInstitutionalMunicipalTrading
Executive Summary
The Securities and Exchange Commission (SEC) approved an extension, through April 6, 1995, of the Municipal Securities Rule-making Board's (MSRB) Continuing Disclosure Information Pilot System for accepting and disseminating disclosure notices relating to outstanding issues of municipal
GUIDANCE
Sanction Guidelines
Effective Date: March 15, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Registered Representatives
NASD Sanction Guidelines
Institutional Sales Material
and Correspondence
Telemarketing
Research Analysts and
Research Reports
Executive Summary
This Notice advises NASD members of modifications to the
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On December 28, 1992, the Securities and Exchange Commission (SEC) approved and made effective an amendment to Article III, Section 10(a) of the Rules of Fair Practice. The amendment raises from $50 to $100 the maximum value of gifts or gratuities a member or associated person may provide to another
Correction: On page 556, this Notice originally stated incorrectly that Nasdaq's regular trading hours are 9:30 a.m. to 6:30 p.m. ET. In fact, Nasdaq's regular trading hours are 9:30 a.m. to 4:00 p.m. ET and the Nasdaq extended hours session is 4:00 p.m. to 6:30 p.m. ET. The online and print versions of this Notice have been corrected.
ACTION REQUESTED
Limit Orders — Manning
REQUEST FOR COMMENT
Certification by Chief Executive Officer and Chief Compliance Officer
Comment Period Expires on: July 11, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representative
Legal & Compliance
Senior Management
Compliance
Supervision
Executive Summary
NASD is proposing to amend Rule 3010 and adopt
SummaryIn light of the increasingly automated markets for NMS stocks, FINRA is issuing this Notice to remind member firms of their obligation to execute marketable customer orders fully and promptly. We also are reminding firms of their obligation to ensure that their supervisory systems are reasonably designed to achieve compliance with this obligation.Questions concerning this Notice should be
Updated as of January 30, 2025FINRA believes that it is appropriate, after a reasonable period of time, to look back at its significant rulemakings to determine whether a FINRA rule or rule set is meeting its intended investor protection objectives by reasonably efficient means, particularly in light of environmental, industry and market changes. These retrospective reviews look at
SR-FINRA-2008-059 - Proposed Rule Change Relating to the Adoption of FINRA Rule 2080, FINRA Rule 2310, FINRA Rule 4551, and FINRA Rule 2266 in the Consolidated FINRA Rulebook
