Late Disclosure Fee Related to Reporting of Judgment/Lien Events
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Registration
Executive Summary
The Office of the Corporate Secretary would like to remind members of the importance of keeping the names of Executive Representatives, as well as mailing addresses for branch offices, up-to-date. Making certain that the Central Registration Depository (CRD) is kept informed of changes in
Summary
FINRA Rule 4210 (Margin Requirements) prescribes requirements governing the extension of credit by members. The FINRA Rule 4210 interpretations provide further guidance regarding application of the rule. This Notice announces, effective immediately, clarifications of interpretations of (1) FINRA Rule 4210(e)(8), which specifies margin requirements for control and restricted securities,
FINRA Reminds Firms of Their Trade Reporting Obligations and Announces New Submission Process for Form T
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests public comment concerning the potential benefits to investors of allowing the
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Syndicate
Training
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests that members review their compliance procedures with respect to Securities and Exchange (SEC) Rule 15c2-4, which is applicable to public and private
Mr. Chairman and Members of the Committee: NASD is grateful to the Committee for inviting us to testify about NASD's work to protect senior investors and for allowing us to submit this statement for the record.
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 10. Five candidates were seeking to fill the four open seats on the District Committee
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
Through this Notice, NASD announces the results of the contested election for membership on the District Committee for District 1. Four candidates were seeking to fill the three open seats on the District Committee
SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperations
Executive Summary
The Securities and Exchange Commission (SEC) recently approved changes to Rule 17a-11 that eliminate certain burdensome filing requirements. The requirements to give notice basically are unchanged. These amendments are the first major revisions to the rule in more than 20 years,
