INFORMATIONAL
Soliciting Business Internationally
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Training
Foreign Regulators
Soliciting Business
Executive Summary
Foreign regulators have informed the National Association of Securities Dealers, Inc. (NASD®) that persons associated with member firms may be soliciting
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Operations
Syndicate
Systems
Trading
Executive Summary
Securities and Exchange Commission (SEC) Rule 15c6-1, which establishes three business days as the standard time period for settling transactions in most securities (T+3), is effective June 7,
FINRA is reviewing activities of member firms acting as or working with placement agents in soliciting and/or obtaining business with municipalities and public pension funds.
Use FINRA’s Tools and Calculators to help you make informed financial decisions based on your own personal circumstances and financial needs.
NASDR has filed with the SEC a proposed Discovery Guide for use in NASD arbitration proceedings to improve the discovery process in NASD-sponsored securities arbitrations.
Last Voting Date: January 31, 1994
SUGGESTED ROUTING
Corporate FinanceLegal & ComplianceMutual Fund
Executive Summary
The NASD invites members to vote on a revised proposed amendment to Article III, Section 26(d)(4) of the Rules of Fair Practice to exempt money market mutual funds with asset-based sales charges equal to or less than .25 of 1% of net assets (or 25 basis
Effective Immediately
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & Compliance
Executive Summary
The Securities and Exchange Commission (SEC) recently approved amendments to the Guidelines Regarding Communications With the Public About Collateralized Mortgage Obligations (CMO Guidelines) at Article III, Section 35 of the Rules of Fair Practice. The amendments add a
Proposed Rule Change to Waive Fees under FINRA Rule 7730 (Trade Reporting and Compliance Engine (“TRACE”))
Proposed Rule Change to Amend Rule Cross-References in FINRA Rules
Proposed Rule Change to Adopt FINRA Rule 2030 and FINRA Rule 4580 to Establish “Pay-To-Play” and Related Rules
