SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
Effective July 1, 1997, tier sizes for 592 Nasdaq National Market® securities will be revised in accordance with NASD® Rule 4710(g).
For more information, please contact Nasdaq® Market Operations at (203) 378-0284.
Description
Under Rule 4710, the maximum Small Order Execution
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD has amended its policy regarding the publication of disciplinary actions to provide that actions resulting in monetary sanctions of $10,000 or more will be published in the same manner as actions resulting in suspensions, bars, expulsions and/or revocations. The new policy will be implemented with respect to District
NASD, through its wholly owned subsidiary, NASD Dispute Resolution, Inc. ("NASD Dispute Resolution"), is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to adopt Rule 12504 of the proposed Code of Arbitration Procedure for Customer Disputes ("Customer Code") and Rule 13504 of the proposed Code of Arbitration
Effective December 1, 2014, FINRA Rule 3170, Tape Recording of Registered Persons by Certain Firms, commonly referred to as the "Taping Rule," was adopted into the Consolidated FINRA Rulebook, replacing NASD Rule 3010(b)(2). The Taping Rule provisions first became effective August 17, 1998, when the Securities and Exchange Commission approved an amendment to NASD Rule 3010 to require members to establish, enforce and maintain special written supervisory procedures, including the tape recording of conversations, when they have hired more than a specified percentage of registered persons from certain firms that have been expelled or that have had their broker/dealer registrations revoked for violations of sales practice rules ("disciplined firms").
Unless otherwise indicated, suspensions will begin with the opening of business on Tuesday, February 20, 1996. The information relating to matters contained in this section is current as of February 5, 1996. Information received subsequent to February 5, 1996 is not reflected in this section.
Firms Expelled, Individuals Sanctioned
Burnett Grey & Co., Inc. (Atlanta, Georgia) and Linda M
ACTION REQUIRED
Broker/Dealer, Investment Adviser, And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Web IARD
Executive Summary
The 2002 Renewal Program for the National Association of Securities Dealers, Inc. (NASD®)
Proposed Rule Change to Adopt FINRA Rule 11000 Series (Uniform Practice Code) in the Consolidated FINRA Rulebook
The NASD Office of General Counsel Regulatory Policy and Oversight (OGC) publishes the Disciplinary Update to provide registered representatives with a summary sampling of recent disciplinary actions involving misconduct by registered representatives. The sample of disciplinary actions includes settled matters and decisions in litigated cases (National Adjudicatory Council (NAC) decisions and decisions of the Securities and Exchange Commission in NASD cases).
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Trading
Executive Summary
On July 3, 1997, in Release No. 34-38812 (SEC Release), the Securities and Exchange Commission (SEC) approved new NASD® Rule 2460 (Rule), which explicitly prohibits any payment by issuers or
SUGGESTED ROUTING*
Government SecuritiesLegal & ComplianceOperationsRegistration
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission (SEC) has adopted amendments to Rule 17M, also known as the Lost and Stolen Securities Program. Among other things, the amendments: 1) expand the definition of
