Unless otherwise indicated, suspensions will begin with the opening of business on Monday, June 17, 1996. The information relating to matters contained in this section is current as of June 5, 1996. Information received subsequent to June 5, 1996, is not reflected in this section.
Firm Fined, Individual Sanctioned
Litwin Securities, Inc. (Miami Beach, Florida) and Harold A. Litwin (Registered
REQUEST FOR COMMENT
Trading Activity Fee
Comment Period Expires October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
NASD By-Laws
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members on possible changes to the Trading Activity Fee (TAF). In
2003, the Securities and Exchange
November 1998
Mandatory Testing
On October 5, 1998, the National Association of Securities Dealers, Inc. (NASD®) filed a proposed rule change with the Securities and Exchange Commission (SEC) that would mandate Year 2000 testing for clearing firms, market makers, and government securities firms. The proposed rule also would strongly encourage testing between correspondent clearing firms and
Effective Date: November 1, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTradingTraining
Executive Summary
On August 15, 1994, the Securities and Exchange Commission (SEC or Commission) approved amendments, in part, to Article III, Section 34 (Section 34), of the NASD Rules of Fair Practice prohibiting NASD members or associated persons from
FINRA’s secure online licensing system, the Central Registration Depository (CRD®), enables entitled users, typically individuals from a firm’s registration or compliance department, to register individuals with FINRA, other self-regulatory organizations and state regulators. In addition to registration and licensing information, the CRD system includes qualification, employment and disciplinary
As recently announced, NASDAQ OMX PSX (PSX) is a new equity trading platform scheduled to launch in the second quarter of 2010, pending Securities and Exchange Commission (SEC) approval.
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Sec. 8.2 (a) A district within its respective region, as established under Section 8.1, shall elect no fewer than six Regional Committee members to serve on the Regional Committee for its respective region, unless otherwise provided by resolution of the Board. A Regional Committee shall consist of no fewer than five and no more than 20 members, unless otherwise provided by resolution of
I am an authorized agent, representative or employee of this subscriber and certify that I am legally authorized to conduct financial transactions related to the registered bank account.
FINRA encourages comments on this paper, including areas where guidance or modifications to FINRA rules may be desired to support cloud adoption while maintaining investor protection and market integrity. Comments are requested by October 16, 2021.
Member firms and other interested parties can submit their comments using the following methods:
Online using FINRA’s comment form for this Notice
