FINRA Provides Guidance Regarding Credit for Extraordinary Cooperation
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTrading*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The NASD® is publishing the results of a recent study of underwriting compensation received in the distribution of public corporate equity offerings. The NASD analyzed the amount of actual
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 5, 1985, 100 issues are scheduled to join the NASDAQ National Market System bringing the total number of issues in NASDAQ/NMS to 1,374. These 100 issues, which will begin trading under real-time trade reporting, are entering the NASDAQ/NMS pursuant to the Securities and Exchange Commission's criteria for voluntary
GUIDANCE
Charitable Contributions
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Charitable Giving
Charitable Solicitation
Executive Summary
The solicitation of substantial charitable contributions by employees
or agents of a customer acting in a fiduciary capacity raises
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The Securities and Exchange Commission recently approved an 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, which becomes effective June 1, 1988, requires a qualified independent underwriter to provide a
Guidance on Disclosure Concerning the U.S. Treasury Department's Temporary Guarantee Program for Money Market Mutual Funds
Mandatory Display Guidelines
Summary
The purpose of this Notice is to notify member firms of the upcoming nomination and election process to fill vacancies on FINRA’s Regional Committees. The Regional Committees play an important part of informing FINRA’s regulatory programs by, among other things, alerting FINRA to industry trends that could present regulatory concerns, and consulting with FINRA on proposed policies and
You think you’re arguing from a position of strength. You think asking for the public to comment you’re assuaging the masses. You think we think you’ll actually do something honorable and equitable in response to this open comment forum. We know better. It’s all coming out now. Again. We know you’ve rigged the game and corrupted the market. We know you only pay lip service when moralizing an open
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