(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
(a)(1) Each member shall be assessed a registration fee of $75.00 and a branch office system processing fee of $20.00 upon the registration of each branch office, as defined in the By-Laws.
(2) FINRA shall waive, for the first branch office registered by a member, payment of the $75.00 registration fee and the $20.00 branch office system processing fee (where such fees have been assessed
FINRA Requests Comment on a Proposal Relating to Its Inter-Dealer Quotation System for OTC Equity Securities
FINRA Requests Comment on the Effectiveness and Efficiency of Its Payments for Market Making Rule
Summary
This Notice provides guidance to help member firms comply with FINRA Rule 2210, Communications with the Public, when creating, reviewing, approving, distributing, or using retail communications concerning private placement offerings.
Questions concerning this Notice should be directed to:
Amy C. Sochard, Vice President, Advertising Regulation, at (240) 386-4508; or
Ira D. Gluck,
NASD Notice of Meeting and Proxy
FINRA Reminds Firms of Their Obligations Regarding Transactions in OTC Equity Securities Quoted Pursuant to a Submitted Form 211
FINRA Requests Comment on Proposed New FINRA Rule 3190 to Clarify the Scope of a Firm’s Obligations and Supervisory Responsibilities for Functions or Activities Outsourced to a Third-Party Service Provider
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 (
<p>Orders involving Nasdaq-listed securities received by certain NYSE Amex floor brokers through NYSE Amex systems are not subject to the recording and reporting requirements in the OATS Rules.</p>
