SUGGESTED ROUTING
Senior Management
Government Securities
Legal & Compliance
Registration
Training
Executive Summary
On August 25, 1997, the Securities and Exchange Commission (SEC) approved amendments to the National Association of Securities Dealers, Inc. (NASD®) Rules
Guidance on Low-Priced Equity Securities in Customer Margin and Firm Proprietary Accounts
Last Voting Date: June 22, 1996
Executive Summary
The National Association of Securities Dealers, Inc. (NASD) invites members to vote to approve amendments to the NASD By-Laws that continue the restructuring necessary to implement the principles articulated in the September 1995 Report of the Select Committee on Structure and Governance (Select Committee) and make the By-Laws consistent with
FINRA (f/k/a National Association of Securities Dealers, Inc. (“NASD”)) is filing with the Securities and Exchange Commission (“SEC” or “Commission”) a proposed rule change to amend Rule 2860 to extend a pilot program until March 1, 2008 increasing position and exercise limits for both standardized and conventional options.
This reference guide covers a range of private placement topics, from the basic question of "What is a private offering?" to more technical discussions on broker-dealer compliance with FINRA's private placement rules.
NASD is filing with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to increase the frequency of the short interest reporting requirements under Rule 3360 from monthly to twice per month.
SUGGESTED ROUTING
Senior ManagementLegal & Compliance
Executive Summary
On May 28, 1993, the Securities and Exchange Commission (SEC) approved amendments to Article II, Section 10 of the NASD® Code of Procedure (Code) to provide for a Minor Rule Violations Plan (Plan). The Plan will permit the NASD to dispose of certain minor rule violations expeditiously and to report the
<p>Transactions in certain medium term notes, purchased and re-sold to retail customers during the offering period, should not be reported to TRACE as set forth in Rule 6230(e)(1) because the transactions are part of a primary distribution.</p>
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 2110-2, Trading Ahead of Customer Limit Order (commonly referred to as the "Manning Rule"), to codify NASD's existing position that the Manning Rule applies to all members, whether acting as a market maker or not.
This filing was withdrawn and replaced by
SR-NASD-2006-035.NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Interpretive Material (IM) 2110-2, Trading Ahead of Customer Limit Order (commonly referred to as the "Manning Rule"), to codify NASD's existing position that the Manning Rule
