FINRA Announces Nominees for Upcoming Vacancies on the National Adjudicatory Council
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission has approved a recodification of the NASD By-Laws 1/ and a revised Code of Procedure. 2/ The text of these amendments, which were effective upon approval by the Commission, 3/ is attached.
Over the past several years, the Association's Ad Hoc Committee on
Advertising Department's response to recommendations of the Investment Company Institute concerning member use of hyperlinks.
SEC Approves Consolidated FINRA Customer Order Protection Rule
SEC Approves Amendments to Rules on Reporting Transactions to the OTC Reporting Facility
Dissemination of Qualified Contingent Trades Reported to FINRA
Late Disclosure Fee Related to Reporting of Judgment/Lien Events
December 2009 Supplement to the Options Disclosure Document
GUIDANCE
Reporting Requirements for "Piggybacking" Arrangements
Effective Date: February 20, 2006
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Clearing Agreements
"Piggybacking" Arrangements
Rule 3150
Rule 3230
Executive Summary
On August 26, 2005, the Securities and Exchange Commission (SEC) approved amendments to NASD
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply
