SummaryFINRA will conduct its Annual Meeting of firms on Wednesday, September 11, 2024, at 10:00 a.m. Eastern Time at FINRA’s Washington, DC, office located at 1700 K Street, NW, Washington, D.C. The purpose of the meeting is to elect one Small Firm Governor, one Mid-Size Firm Governor and one Large Firm Governor to the FINRA Board of Governors (FINRA Board or Board).1It is important
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENTS: MARCH 2, 1987.
EXECUTIVE SUMMARY
The NASD requests comments on two proposed amendments to Section (c)(l)(B) of the Rules of Practice and Procedure governing the NASD's Small Order Execution System (SOES). One amendment would prohibit NASDAQ market makers from utilizing SOES to execute agency orders in securities in
Neutral Corner - October 2007
Summary
Recently, FINRA took enforcement action against several firms for failing to establish or maintain a reasonably designed supervisory system for recommendations of alternative mutual funds, also sometimes referred to as “alt funds” or “liquid alts” (“Alt Funds”). FINRA is continuing to note such deficiencies in its examinations and communications reviews of such products.
This Notice
TO: All NASD Members and Other Interested Persons
Attn: Corporate Financing Department
LAST DATE FOR COMMENT: June 6, 1986
The Board of Governors of the National Association of Securities Dealers, Inc. has approved a proposed amendment to the Interpretation of the Board of Governors—Review of Corporate Financing, Article III, Section 1 of the NASD Rules of Fair Practice (the Corporate Financing
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Trading
Executive Summary
New uniform provisions regarding the automated reporting requirement for Positions Hedging Stock Options will become effective on December 31, 1997.
New uniform provisions regarding the
TO: All NASD Members and NASDAQ Level 2 and 3 Subscribers
On February 8, 1983, 100 additional NASDAQ securities will enter the NASDAQ National Market System (NMS). As a result, real-time trade reporting will be required in these securities commencing on that date.
Of these securities, 50 met the Tier 1 criteria as stated in SEC Rule HAa2-l as of the December 31, 1982, qualification date and,
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
Remarks from the FINRA Annual Conference
June 13, 2006
On March 15, 2006, NASD published an OATS Report entitled NASDAQ Exchange Registration – OATS Reporting Changes. This article discussed several OATS issues relating to NASDAQ’s operation as an exchange, including NASD’s pending rule filing proposing to establish rules for the trade reporting of transactions otherwise than on an exchange through a new NASD facility, called the Trade
