SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of May 14, 1990, the following 21 issues joined NASDAQ/NMS, bringing the total number of issues to 2,658:
Symbol
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
In response to the request1 from the Securities and Exchange Commission (SEC) for a plan on the implementation of decimals trading, the National
For purposes of the Rule 11890 Series, the terms of a transaction are “clearly erroneous” when there is an obvious error in any term, such as price, number of shares, or other unit of trading, or identification of the security.
• • • Supplementary Material: ------------------
.01 Refusal to Abide by Rulings. It shall be considered conduct inconsistent with just and equitable principles
Overview – The following is a guide to assist applicants as they prepare and submit information and documentation for FINRA Form New Member Application (NMA) or Form Continuing Member Application (CMA) regarding new private placement business. This checklist is designed to help applicants provide basic information FINRA staff may ask them to submit in order to begin a meaningful review and to aid
This Written Supervisory Procedures Checklist (“WSP Checklist”) outlines selected key topics as a reference tool to assist funding portal members (“FP members”) in fulfilling their compliance obligations.
INFORMATIONAL
Callable Common Stock
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Callable Common Stock
IM-2110-6
Executive Summary
On April 24, 2000, NASD Regulation, Inc. (NASD RegulationSM) adopted a new interpretation of high standards of commercial honor and just and equitable
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
<p>Acceptance by member of referral fee payments by non-member mortgage banker is governed by Rule 3030 and other supervision rules.<br/></p>
Registration Fee Changes
Registration fees have changed recently in the following jurisdictions: Utah, the Chicago Board of Options Exchange, North Dakota, and Nebraska. These registration fees are processed through the Central Registration Depository (CRDSM) and the changes went into effect on July 1, 1999.
Utah
Fee Description
New Amount
• UT Individual Registration Fee
$45.00
• UT
TO: All NASD Members and Other Interested Persons
The following are NASD Notices to Members issued during the third quarter of 1987. Requests for copies of any notice should be accompanied by a self-addressed mailing label and directed to: NASD Administrative Services, 1735 K Street, N.W., Washington, D.C. 20006-1506.
Notice Number
Date
Topic
87-42
July 1, 1987
NASDAQ National Market
