FINRA Requests Comment on a Proposal to Require Registration of Associated Persons Involved in the Design, Development or Significant Modification of Algorithmic Trading Strategies
Joint NASD and NYSE interpretation that individuals involved in the development of certain quantitative equity research ratings model are not “research analysts” as defined by the SRO research analyst conflict of interest rules.
INFORMATIONAL
Weighted Average And Special Pricing Formula Trades
Effective Date: July 17, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Trading & Market Making
Training
Transaction Reporting
Executive Summary
On May 31, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers, Inc. (
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) has amended its net capital, recordkeeping, and quarterly securities-count rules under the Securities Exchange Act of 1934 regarding the treatment of repurchase (repo) and reverse repurchase (reverse repo) agreements entered into by registered broker-dealers.
The amendments to SEC Rule 15c3-l will
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 23, 1998, the following bonds were added to the Fixed Income Pricing SystemSM (FIPS®).
Symbol
Name
Coupon
Maturity
ACFL.GA
ACC Consumer Finl Corp.
10.250
12/01/03
ANCP.GB
Anacomp Inc
10.875
04/01/04
CSUD.GA
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of November 21, 1997, the following bonds were added to the Fixed Income Pricing SystemSM (FIPSSM).
Symbol
Name
Coupon
Maturity
ELRT.GA
Eldorado Resorts LLC
10.500
08/15/06
GTAR.GA
Globalstar L.P./Cap Corp
FINRA Requests Comment on Proposed Amendments to Its Membership Application Program to Incentivize Payment of Arbitration Awards
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: MARCH 31, 1988.
EXECUTIVE SUMMARY
The NASD requests comments on proposed amendments to the NASD Rules of Fair Practice that would generally prohibit members from accepting non-cash sales compensation in connection with the distribution of investment company and variable contract products.
The purpose of the amendments is to
INFORMATIONAL
Release of Disciplinary Information
Implementation Date: September 1, 2002
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
IM-8310-2
Release of Disciplinary Information to the Public
Executive Summary
NASD has adopted amendments to NASD Interpretative Material 8310-2 (IM-8310-2), concerning the
SUGGESTED ROUTING*
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Mutual Fund
Research
Syndicate
Systems
Trading
Training
*These are suggested departments only. Others may be appropriate for your
