GUIDANCE
Market Order Protection
Effective Date: January 9, 2006
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
IM-2110-2
Manning Rule
Market Orders
Rule 2111
Executive Summary
In October 2005, NASD issued Notice to Members (NTM) 05-69
informing members of Securities and Exchange Commission (SEC)
We are reissuing this alert because, as interest rates have increased in recent months, so have calls to FINRA from investors concerned that promotions for higher-than-average CD rates are in fact pitches for high-commission investment products.
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).
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).
Comment Period Expires: April 30, 1997
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Operations
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on new NASD® Rule 2460 that would restrict the payment of "finders" or referral fees by NASD members to unregistered third parties for the referral
Proposed Amendments to FINRA Rule 6440 (Trading and Quotation Halt in OTC Equity Securities)
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).
2013 GASB Accounting Support Fee to Fund the Governmental Accounting Standards Board
FINRA, the SEC and CFTC Issue Joint Advisory on Business Continuity Planning
97-75 attachments (PDF Format)
Note: voting by NASD member executive representatives only through mail ballots distributed with print version of this Notice.
Last Voting Date: November 13, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Executive Summary
The National Association of Securities Dealers, Inc. (NASD® or Association) invites members to
