SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & ComplianceMutual Fund
Executive Summary
Beginning May 1, 1994, the NASD will assess increased charges for the review of certain advertisements and sales literature, including printed material, video and audio media, printed and audio material in excess of a certain amount, and material submitted for expedited review. The text
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, May 20, 1996. The information relating to matters contained in this section is current as of May 5, 1996. Information received subsequent to May 5, 1996 is not reflected in this section.
Firm Expelled, Individuals Sanctioned
Devon Resources Financial Corporation (Tulsa, Oklahoma), Catherine W. Yox (
Summary
FINRA conducts annual elections to fill positions on the Small Firm Advisory Committee (SFAC), Regional Committees, National Adjudicatory Council (NAC) and FINRA Board of Governors (Board). This Notice provides:
a description of responsibilities for the various groups;
an overview of each elected vacancy to be filled in 2023; and
a summary of how eligible individuals can become
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMunicipalOperationsSystems*These are suggested departments only. Others may be appropriate for your firm.
On September 12, 1991, the United States District Court for the Eastern District of Texas (Tyler) appointed a Securities Investor Protection Corporation (SIPC) trustee for:
Affiliated Security Brokers, Inc.115 East Erwin
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceOperations*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC or "Commission") has approved an amendment that adds a new section to Part I of Schedule C to the NASD By-Laws requiring members to provide notification in writing
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
SUGGESTED ROUTING*
Legal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Effective August 1, 1989, the requirement to report daily price and volume in non-NASDAQ over-the-counter equity securities ("non-NASDAQ securities") pursuant to Schedule H to the NASD By-Laws was extended to the entire
FINRA is conducting an inquiry with respect to Unit Investment Trust (“UIT”) rollovers. In connection with our inquiry, we request that firm provide the following documents and information for the period from January 1, 2014 through June 30, 2016 (the “Review Period”) to the undersigned by no later than October 10, 2016.
SUGGESTED ROUTING*
Legal & ComplianceOperationsRegistrationTraining
*These are suggested departments only. Others may be appropriate for your firm.
The Securities and Exchange Commission recently approved revisions to several of the NASD's qualification examinations. These changes become effective January 1, 1990. The revised examinations include the following:
Investment
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
NASD members are advised that their participation in certain transactions with blind-pool companies may be inconsistent with the provisions of Schedule E to the NASD By-Laws. The merger or acquisition of an NASD
