NASDR has filed with the SEC a proposed rule change to Rule 10201 of the Rules of the National Association of Securities Dealers, Inc.
Comment Period Expires November 30, 1994
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicate
Executive Summary
The NASD is requesting comment on an amendment to its Corporate Financing Rule (the Rule) relating to rights of first refusal granted to underwriters and related persons in connection with the distribution of public offerings. The amendment
Suggested Routing
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of October 3, 1996, the following bonds were added to the Fixed Income Pricing System (FIPS).
Symbol
Name
Coupon
Maturity
AMD.GA
Advanced Micro Devices Inc
11.000
8/1/03
WRSL.GC
Weirton Steel
10.750
6/1/05
IV.GBC
Mark IV
7.750
4/1/06
RAZR.
Executive Summary
The Department of the Treasury's (Treasury) amendments to the Bank Secrecy Act (BSA), which facilitate tracing funds through the funds-transmittal process, became effective May 28, 1996. For transmittals of funds of $3,000 or more, broker/ dealers are required to obtain and keep certain specified information concerning the transmitter and the recipient of those funds. In
When you invest in stocks of publicly traded companies, something comes with the package—corporate actions, which may affect a company’s stock and, therefore, its shareholders. Here are six common types of corporate actions and how they might impact your investments.
GUIDANCE
Security Futures Rules
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Registered Principals
Senior Management
Continuing Education
Rule 1022 (Categories of Principal
Registration)
Rule 1032 (Categories of
Representative Registration)
Security Futures
Executive Summary
On October
FINRA is reviewing the sale of structured products to investors. In connection with this review, we request the following information for the period of January 1, 2007 to May 31, 2009 (“the review period”).
The Trading and Market Making Surveillance Examinations (“TMMS”) group of the Market Regulation Department at the Financial Industry Regulatory Authority (“FINRA”) is conducting a review for compliance with the requirements of FINRA Rule 5320 (“Rule 5320”).
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
*These are suggested departments only. Others may be appropriate for your firm.
EXECUTIVE SUMMARY
The Securities and Exchange Commission has approved amendments to Articles II and III of the NASD's Code of Procedure ("Code
Applicability of Rule 2510(d) to the use of negative response letters to transfer customer funds from money market mutual funds to interest bearing bank accounts.
