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,
This Notice describes the protocol by which FINRA will announce the effective dates of the new FINRA rules that are being adopted as part of the consolidated rulebook (Consolidated FINRA Rulebook).
TO: All NASD Members and Other Interested Persons
EXECUTIVE SUMMARY
The NASD wishes to apprise its members of the SEC's recent release relating to mark-ups on zero-coupon securities. The SEC has become aware of potential abuses in this area and emphasizes that applicable provisions of the federal securities laws, NASD rules, and MSRB rules apply equally to zero-coupon securities. The SEC
Good morning, welcome to Baltimore, and thank you for attending the FINRA annual conference. It’s nice to see so many familiar faces here today.
SUGGESTED ROUTING
Corporate Finance
Legal & Compliance
Operations
Syndicate
Trading
Executive Summary
On June 27, 1997, the Securities and Exchange Commission (SEC) approved amendments to NASD® Rules 4611(d) and 4612(g) with regard to market maker registration and Primary Market Maker (PMM) eligibility by managers and co-managers of secondary offerings.
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Registration
Training
Executive Summary
NASD Regulation, Inc. (NASD Regulation) reminds NASD® members and their associated persons who sell variable life insurance contracts and variable annuity contracts (Variable Contracts) of their obligations with respect to the suitability requirements of the NASD Conduct
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Municipal
Executive Summary
On May 28, 1998, the National Adjudicatory Council (NAC) considered two requests for exemptive relief under Municipal Securities Rulemaking Board (MSRB) Rule G-37(i). The NAC's decisions are published belowin redacted form, pursuant to a publication policy that the NAC adopted,
SUGGESTED ROUTING
Senior Management
Advertising
Corporate Finance
Legal & Compliance
Registration
Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) Office of the Ombudsman staff has helped resolve many issues and concerns raised by members and their associated persons, issuers and their associated persons, and investors.
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Mutual Fund
Executive Summary
The NASD has filed with the Securities and Exchange Commission (SEC) a proposal to amend Article III, Sections 26 and 29 of the NASD Rules of Fair Practice to revise existing rules applicable to the sale of investment company securities and establish new
Comment Period Expires September 30, 1994
SUGGESTED ROUTING
Senior ManagementGovernment SecuritiesInstitutionalLegal & ComplianceTrading
Executive Summary
With the enactment of the Government Securities Act Amendments of 1993, the NASD's regulatory jurisdiction was intended to encompass, among other things, sales practices relating to government securities. In conjunction
