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The NASD® published the following Notices to Members during 95. Duplicate copies are available at $25 per monthly or special issue. A 2-volume bound-set, indexed reprint of the entire year's Notices, is also available at $150. Requests, accompanied by a self-addressed mailing label and a check payable to the National Association of Securities Dealers, Inc., or credit card information,
SEC Approves Rule Change to Modify the Dissemination Protocols for Agency Debt Securities
For Your Information
FINRA Modifies the Process for Firms to Designate Their Allocation Methodology for Options Exercise Assignment Notices
Effective March 13, 2008, when issuing liability notices in connection with certain securities transactions, firms are required to use the automated liability notification system of a registered clearing agency, provided that both parties to the contract are participants in a registered clearing agency that has such an automated system.
FINRA Amends Capital Acquisition Broker Rule 331 to Conform to FinCEN’s Final Rule on Customer Due Diligence Requirements for Financial Institutions
SEC Approves Amendment to Require Alternative Trading Systems to Identify Non-FINRA Member Subscribers in TRACE Reports for U.S. Treasury Securities
An efficient capital raising process fosters business expansion, job creation and economic growth. Currently, FINRA’s soliciting comments on the impact FINRA's Rules have on the capital formation process, as it looks for ways to increase efficiency and reduce unnecessary burdens. On this episode, we'll dig more into this process and FINRA's recent Request for Comment.
Frequently Asked Questions Related to Regulatory Relief Due to the Coronavirus Pandemic
MARCH 18, 2020
Due to the coronavirus pandemic (COVID-19), FINRA is providing temporary relief for member firms from rules and requirements in the Frequently Asked Questions below. The relief provided does not extend beyond the identified rules and requirements. As coronavirus-related risks
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Executive Summary
As published in NASD Notice to Members 98-77 (September), Article IV, Section 3 of the National Association of Securities Dealers, Inc. ( NASD®) By-Laws has been amended. This By-Law change, which takes effect January 1, 1999, requires members to