SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Operations
Trading
*These are suggested departments only. Others may be appropriate for your firm.
IMPORTANT MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed new Section 44 to Article III of the
Revised Discovery Guide and Document Production Lists for Customer Arbitration Proceedings
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission recently approved amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials" under Article III, Section 1 of the NASD Rules of Fair Practice.1/ These amendments, which became effective on May 30, 1986, provide for an increase in the guidelines for
TO: All NASD Members and Other Interested Persons
The Securities and Exchange Commission (SEC) recently approved amendments to the Interpretation of the NASD Board of Governors on "Forwarding of Proxy and Other Materials," under Article III, Section 1 of the NASD Rules of Fair Practice. 1/ These amendments, which became effective on April 29, 1986, provide for a surcharge and an
FINRA Announces Results of SFAB, NAC and District Committee Elections and Appointments
I M P O R T A N T
Officers * Partners * Proprietors
TO; All NASD Members
As discussed in Notice to Members 83-73, the Securities & Exchange Commission adopted Rule 15c2-2 on November 18, 1983. The Rule prohibits broker-dealers from using mandatory arbitration clauses in customer agreements that purport to bind public customers to the arbitration of claims arising under the federal
IMPORTANT
OFFICERS, PARTNERS AND PROPRIETORS
TO: All NASD Members and Interested Persons
LAST VOTING DATE IS APRIL 13, 1984
Attached is a proposed amendment to Article V, Section 1 of the Association's Rules of Fair Practice which has been approved by the Board of Governors for submission to the membership for a vote.
The proposed amendment to Article V, Section 1 of the Rules of Fair
TO: All NASD Members
ATTENTION: Trading DepartmentsBranch Office Trading Locations
On April 1, 1982, the NASD announced the commencement of real-time transaction reporting under Schedule D of the Association's By-Laws for certain NASDAQ securities that have been designated National Market System (NMS) securities. Since inception, the Association has been monitoring transaction reporting in
SEA Rule 17f-2 generally requires your firm to submit fingerprints for each person who is a partner, director, officer or employee of your firm, subject to certain exceptions. Fingerprints are submitted on either FINRA approved fingerprint cards or electronically through a certified EFS vendor contracted with Sterling. Firms pay fingerprint fees by using E-Bill, FINRA's electronic billing
SUGGESTED ROUTING
Senior ManagementLegal & ComplianceOperationsRegistration
Executive Summary
The 1994-95 NASD broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that will include fees for NASD personnel assessments, NASD branch-office fees, New York Stock
