SUGGESTED ROUTING*
Senior Management Corporate FinanceLegal & ComplianceOperationsTradingTraining
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
Congress passed the Insider Trading and Securities Fraud Enforcement Act of 1988, which became effective on November 19, 1988, and augments enforcement of the securities laws, particularly
FINRA Provides Guidance on Communications With the Public Concerning Unlisted Real Estate Investment Programs
REQUEST FOR COMMENT
Short Interest Reporting
Comment Period Expires November 29, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Rule 3360
Short Interest Reporting
Short Sales
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members and other interested parties on proposed changes to
Rule 3360, Short Interest Reporting.
(a) Definitions
(1) For purposes of this Rule, the terms "CAT NMS Plan", "Industry Member", "Operating Committee", and "Participant" are defined as set forth in Rule 6810 (Consolidated Audit Trail—Definitions).
(2) "Subcommittee" means a subcommittee designated by the Operating Committee pursuant to the CAT NMS Plan.
(3) "CAT
SUGGESTED ROUTING:*
Senior ManagementLegal & Compliance*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to Article HI, Sections 5 and 6 and Article IV, Sections 3 and 4 of the NASD By-Laws relating to retaining jurisdiction over member firms that resign their
Continuing Education Planning
SUGGESTED ROUTING*
Senior ManagementLegal & ComplianceOperationsTrading
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The SEC recently adopted Rule 15c2-6, which is effective January 1, 1990. It imposes sales-practice requirements on broker-dealers that recommend transactions in certain low-priced, non-NASDAQ over-the-counter
Upcoming Election to Fill FINRA District Committee Vacancies
TO: All NASD Members and Other Interested Persons
LAST DATE FOR COMMENT: DECEMBER 4, 1987.
EXECUTIVE SUMMARY
The NASD is publishing for comment a revision to its proposed amendment to the Interpretation of the Board of Governors on Free-Riding and Withholding that would provide members with an alternative means of complying with the Interpretation for sales of new issues to investment
SEC Approval of FINRA Funding Portal Rules and Related Forms
