SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On January 30, 1992, the United States District Court for the District of Utah appointed a Securities Investor Protection Corporation (SIPC) trustee for:
San Marino Securities, Inc.1245 E. Brickyard Road, Suite 140Salt
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
On August 23, 1995, the Securities and Exchange Commission (SEC) approved amendments to the Code of Arbitration Procedure (Code) clarifying the authority of arbitrators to issue injunctions. The amendments include a new section that permits parties in intra-industry disputes1 to seek emergency relief, called
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered
Beginning Thursday, September 1, 2022, certain depository institutions (Covered Depository Institutions) will be required to report transactions in U.S. Treasury securities, agency debt securities and agency mortgage-backed securities (Covered Securities) to FINRA’s Trade Reporting and Compliance Engine (TRACE).
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: SEPTEMBER 12, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, under Article III, Section 1 of the NASD Rules of Fair Practice. The amendment would require a qualified independent underwriter to provide a pricing opinion
FINRA Reminds Firms of Sales Practice Obligations for Volatility-Linked Exchange-Traded Products
Unregistered associated persons may not routinely take customer orders during periods of peak telephone call volume.<br/>
TO: All NASD Members and Municipal Securities Bank Dealers
ATTN: All Operations Personnel
Securities markets and the NASDAQ System will be closed on Monday, September 1, 1986, in observance of Labor Day. "Regular-way" transactions made on the business days immediately preceding that day will be subject to the following schedule.
Trade Date-Settlement Date Schedule For "Regular-Way
SUGGESTED ROUTING*
Senior ManagementLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has approved amendments to the NASD Code of Procedure that make two changes in the Code to the disciplinary process that reduce the burden that this process imposes on the National
