SUGGESTED ROUTING
Senior ManagementInternal AuditLegal & ComplianceOperationsSystems
Executive Summary
On November 24, 1992, the Securities and Exchange Commission (SEC) adopted significant amendments to the Net Capital Rule, Rule 15c3-1. The changes to the minimum net capital requirements will take effect in three installments beginning July 1, 1993; other changes took
FINRA Revises the Investment Company and Variable Contracts Products Principal (Series 26) Examination Program
Obligation to Provide Timely, Complete and Accurate Information on Form U5
Amendments to the Arbitration Rules on Hearing Locations
FINRA Revises the Series 4 Examination Program
Changes Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Operations Senior Management
NASD Rule 11890
Executive Summary
On January 22, 2003, the Securities and Exchange Commission (SEC) approved changes to NASD Rule 11890 regarding the handling of clearly erroneous transactions. The changes, which take effect immediately, are intended
Individual Snapshot Reports Now Available Online
This request for exemptive relief is granted based on the representations that the Contributions were made prior to the individual's employment with the Firm, and the individual has never been involved in municipal securities business as defined by MSRB Rule G-37. Additionally, the Firm has agreed to institute information barriers and compensation restrictions, and the contributions have been returned.
NASD has filed with the Securities and Exchange Commission ("SEC" or "Commission") a proposed rule change to amend NASD Rule 7002B to establish a fee for reports that are submitted to the NASD/Nasdaq Trade Reporting Facility (the "NASD/Nasdaq TRF") to process transaction fees charged by one member to another member pursuant to Rule 6130(h). In addition, NASD is
