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Notice To Members 90-44
SUGGESTED ROUTING* Senior Management Legal & Compliance Training *These are suggested departments only. Others may be appropriate for your firm. EXECUTIVE SUMMARY The Securities and Exchange Commission has approved an amendment to the Code of Procedure that would create a new procedure
Notice to Members - February 1999
Various updates.
Notice To Members 87-22
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
Notice to Members October 1998
Year 2000 Update
Regulatory Notice 14-21
SEC Approves Amendments to Equity Trade Reporting and OATS Rules
Regulatory Notice 07-38
FINRA Extends Implementation of Rule Amendments Relating to Non-Tape (Or Clearing-Only) Reports for Previously Executed Trades
Regulatory Notice 14-07
SEC Approves New Requirements for Alternative Trading Systems
Louis J. Karcher, Pipeline Trading Systems LLC
Staff grants exemption from the Short Sale Rule for certain transactions executed through a member's passively-priced trading system. April 3, 2007 Mr. Louis J. Karcher Principal & Chief Compliance Officer Pipeline Trading Systems LLC 60 East 42nd Street, Suite 624 New York, NY 10165-0006 Re: NASD Rule 5100: Request for Exemptive Relief Dear Mr. Karcher: This is in
OATS PHASE III -Differences between Reporting Member Exclusion and Exemptive Relief from the OATS Reporting Requirements
January 18, 2006 NASD is issuing this OATS report to clarify for members the difference between qualifying for exclusion from the definition of "Reporting Member" under NASD Rule 6951(n) and obtaining an exemption from the OATS Reporting Requirements pursuant to NASD Rule 6957. On September 28, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rules 6950
Notice To Members 89-14
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