TO: NASDAQ Subscribers and NASD Members
FROM: Molly G. BayleyVice President, NASDAQ Operations
NASDAQ market makers and NASD Members have expressed an interest in receiving copies of the Monthly Statistical Report to Issuers (MSR) on a regular basis. This Report has been compiled and sent on a monthly basis to NASDAQ company executives for several years. Each Report contains daily, weekly and
Proposed Rule Change Relating to Dissemination of Agency-Pass Through Mortgage-Backed Securities and SBA-Backed ABS Traded in Specified Pool Transactions
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
2017 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
Neutral Corner - April 2007
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Board Elections
Executive Summary
The Annual Meeting of Members of NASD will be held on February
3, 2006 at 10 am in the NASD Visitors Center, 1735 K Street, NW,
in Washington, DC. The purpose of the meeting is to conduct the
election of Governors to the NASD Board. Members can raise other
topics for
Firms cited several different benefits and challenges they encountered during their cloud journey.
In particular, firms noted that in assessing the potential benefits and challenges related to the use of cloud computing it is important to assess them in comparison to the other alternatives available to firms, such on-prem environments (which carries its own relative benefits and challenges). The
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).
Proposed Rule Change to Amend Section 4 of Schedule A to the FINRA By-Laws to Increase the Branch Office Annual Registration and New Member Application Fees and Assess a New Continuing Membership Application Fee
NASD® has taken disciplinary actions against the following firms and individuals for violations of NASD rules; federal securities laws, rules and regulations; and the rules of the Municipal Securities Rulemaking Board (MSRB).
