SUGGESTED ROUTING
Senior Management
Corporate Finance
Syndicate
Executive Summary
On June 2, 1997, The Depository Trust Company (DTC) will launch its Initial Public Offering (IPO) Tracking System. Starting June 2, managing underwriters should be aware that for securities to be eligible for listing on The Nasdaq Stock Market, Inc., they must be "depository eligible
Exemptive Letter to Christopher M. Wells, Proskauer Rose LLP
GUIDANCE
Customer Account Statements
SUGGESTED ROUTING
KEY TOPICS
Institutional Customers
Legal & Compliance
Operations
Senior Management
Clearing Firms
Customer Account Statements
DVP/RVP (Delivery versus Payment/
Receive versus Payment)
NASD Rule 2340
NASD Rule 3110
NASD Rule 11860
SEC Rule 10b-10
SEC Rule 15c3-2
SEC Rule 17a-4
Executive Summary
The Securities
GUIDANCE
Large Options Positions Reports
SUGGESTED ROUTING
KEY TOPICS
Senior ManagementLegal & ComplianceOperationsOptionsSystemsTrading
Options
Executive Summary
As a result of enhancements to the Securities Industry Automation
Corporation's (SIAC) Large Options Positions Reporting system, NASD
is eliminating the manual reporting of Large Options
February 20, 2015
Mr. Gregory J. Nowak
Pepper Hamilton LLP
3000 Two Logan Square
Eighteenth and Arch Streets
Philadelphia, PA 19103-2799
Re: FINRA Rule 5130 - Restrictions on the Purchase and Sale of Initial Equity Public Offerings
Dear Mr. Nowak:
This is in response to your letter dated December 3, 2014, in which you request interpretive guidance on behalf of PCV Lux, SCA ("PCV
SUGGESTED ROUTING:*
Senior ManagementInternal AuditLegal & ComplianceOperationsRegistrationTraining*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
Members are invited to vote on a proposed amendment to Article V, Section 1 of the NASD Rules of Fair Practice. The amendment would exclude from the rule the requirement that
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (
SEC Approval and Effective Dates for New Consolidated FINRA Rules
Summary
FINRA has adopted amendments to Rule 6730 (Transaction Reporting) to: (i) require members to report transactions in U.S. Treasury securities to FINRA’s Trade Reporting and Compliance Engine (TRACE) as soon as practicable but no later than 60 minutes from the time of execution; and (ii) require members to report electronically executed transactions in U.S. Treasury securities to TRACE in
FINRA Announces Election Results for District Committees, District Nominating Committees
