Frequently asked questions related to OATS reporting requirements to OTC NMS Stocks.
FINRA and ISG Enhance Electronic Blue Sheet Submissions
FINRA has commented on the following topics.
INFORMATIONALSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryArticle VIII, Section 8.32 of the NASD Regulation, Inc. By-Laws (the By-Laws) permits the Secretary of NASD Regulation, in extraordinary circumstances and with the approval of the NASD Executive Committee or the NASD Board of Governors, to adopt additional
FINRA Provides Guidance on Firm Responsibilities for Sales of Pension Income Stream Products
Notice of SFAB Election and Ballots
Notice of FINRA Small Firm Advisory Board Election and Ballots
Notice of SFAB Election and Ballots
A member firm may include related performance information in institutional communications concerning variable contracts, subject to the stated conditions discussed in the letter.
INFORMATIONAL
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Senior Management
NASD Board of Governors
Executive Summary
The Annual Meeting of NASD members will be held on February 3,
2006.
The formal notice of the meeting, including the precise time and
location, will be mailed on or about December 29, 2005. The
individuals nominated by the NASD National
