INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (Council) has issued a Firm Element Advisory, a guide for firms to use when developing their continuing
ACTION REQUIRED
SOES Order Sizes
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Systems
Trading
SOES Maximum Order Sizes
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
Effective January 10, 2000
Chairwoman Waters, Ranking Member McHenry and Members of the Committee:
Introduction
On behalf of the Financial Industry Regulatory Authority, or FINRA, I want to thank you for the opportunity to appear today to discuss the important role that our organization plays in the regulation of broker-dealers and to share our response to the January market events related to trading in GameStop and
SUGGESTED ROUTING:*
Senior ManagementCorporate FinanceInstitutionalLegal & ComplianceOperationsSyndicateSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on a new Section 46, Article III of the Rules of Fair Practice regarding adoption of a short-sale rule or "bid test
SUGGESTED ROUTING*
Senior ManagementCorporate FinanceLegal & ComplianceMutual FundOperations
*These are suggested departments only. Others may be appropriate for your firm.
MAIL VOTE
EXECUTIVE SUMMARY
The NASD invites members to vote on proposed amendments to the NASD mutual fund maximum sales charge rule that would subject asset-based sales charges to the provisions of the rule.
A. P. SECURITIES, INC.15 WATERVIEW DR, CENTERPORT, NY 11721Mailing Address: P. O. BOX 434, CENTERPORT, NY 11721A.BRIDGE REALVEST SECURITIES CORPORATION244 CAMBRIDGE OAKS, PARK RIDGE, NJ 07656A.G. QUINTAL INVESTMENT COMPANY INC.2177 ACUSHNET AVE., NEW BEDFORD, MA 02745-6316A.G.P. / ALLIANCE GLOBAL PARTNERS88 POST ROAD WEST, 2ND FLOOR, WESTPORT, CT 06880A5 SECURITIES LLC375 WEST END AVE UNIT 10D,
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Fixed Income
Trading and Market Making
Sales
Senior Management
Legal and Compliance
Internal Audit
Training
Mark-Ups
Debt Securities
Rule 2440
Pricing of Debt Securities
Mark-Ups on Debt Securities
Executive Summary
On April 16, 2007, the Securities and Exchange Commission (SEC) approved IM-2440-2, "Additional Mark-Up Policy for Transactions
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
Comment Period Expires On March 1,
SUGGESTED ROUTING
Senior ManagementAdvertisingLegal & Compliance
Executive Summary
At its November 1994 meeting, the NASD Board of Governors approved the issuance of a Notice to Members soliciting comments on the National Arbitration Committee's (Committee or NAC) recommendation to establish an NASD Mediation Program to resolve
SUGGESTED ROUTING
Senior Management
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Operations
Research
Systems
Executive Summary
The Securities and Exchange Commission (SEC) is soliciting comment on temporary rule amendments to SEC Rule 17a-5
