FINRA and ISG Extend Effective Date for Certain Electronic Blue Sheet Data Elements
FINRA Announces Election Results for District Committees, District Nominating Committees and the National Adjudicatory Council
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Registration
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on the following:
A proposed amendment to
FINRA Announces Results of SFAB, NAC and District Committee Elections
TO: All NASD Members and Other Interested Persons
On November 12, 1985, the Securities and Exchange Commission approved a new Article III, Section 40 of the NASD Rules of Fair Practice (SEC Release No. 34-22617). The rule establishes new requirements for the private securities transactions of persons associated with members, and entirely replaces the Private Securities Transactions
Election Results for District Committees and District Nominating Committees
TO: All NASD Members and Other Interested Persons
On December 30, 1983, the staff of the SEC's Division of Market Regulation agreed to an extension of the temporary relief it previously granted under Rule 15e3-l (the "net capital" rule) and Rule 15c3-3 (the "customer protection" rule). This temporary relief, which was scheduled to expire on December 31, 1983, provides an
FINRA Announces Results of the Small Firm Advisory Board and District Committee Elections
NASD Notice of Meeting and Proxy
Revised Policy for Disseminating Reports of Fewer Than 100 Shares; Effective Date: April 21, 2008
