SUGGESTED ROUTING
Senior Management
Legal & Compliance
Trading
Executive Summary
Members that transact business in securities designated in The PORTAL™ Market, which are not PORTAL participants, must notify the NASD of certain summary information about the volume and frequency of transactions by June 15, 1995.
Introduction
The Nasdaq Stock Market™ operates The PORTAL Market for
SUGGESTED ROUTING:*
Senior ManagementLegal & ComplianceMutual FundRegistration*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The second session of the 102nd Congress, which adjourned on October 9, 1992, passed only one major bill of direct interest to the securities industry, the Futures Trading Practices Act. Other proposed
The SEC recently adopted changes to SEC Rule 144 that shorten the
holding period requirements for privately placed securities before they can
be sold into the secondary market, subject to the conditions of the rule,
and that may change industry conventions in the resale of privately placed
debt securities.
TO: All NASD Members
The Securities and Exchange Commission has approved amendments to Article III, Section 28 of the Association's Rules of Fair Practice and the amendments are hereby declared effective as of May 1, 1983. These amendments were previously approved by the Association's Board of Governors and by a vote of the membership.
Section 28 addresses the responsibilities of
Every day at FINRA, we protect investors from misconduct, stop fraud and provide restitution to harmed customers. And we are successful—in part because customers and other members of the public provide information and crucial evidence during the course of an investigation.
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection of investors, the Department shall determine whether the Applicant meets each of the following standards:
(1) The application and all supporting
This rule is no longer applicable. NASD Rule 1010 Series has been superseded by FINRA Rule 1000 Series. Please consult the appropriate FINRA Rule.
(a) Standards for Admission
After considering the application, the membership interview, other information and documents provided by the Applicant, other information and documents obtained by the Department, and the public interest and the protection
Unless otherwise indicated, suspensions will begin with the opening of business on Monday, October 21, 1996. The information relating to matters contained in this Notice is current as of the end of September. Information received subsequent to the end of September is not reflected in this edition.
Firms Expelled, Individuals Sanctioned
Beacon Securities, Inc. (New York, New York), Gary L.
SUGGESTED ROUTING
Senior Management
Advertising
Continuing Education
Corporate Finance
Executive Representatives
Government Securities
Institutional
Insurance
Internal Audit
Legal & Compliance
Municipal
Mutual Fund
Operations
Options
Registered Representatives
Registration
Research
Syndicate
Systems
Trading
Training
Variable Contracts
Executive Summary
On December 21, 1998,
