Displaying 1211 - 1220 of 1649 Results
Effective Date: December 15, 1997
SUGGESTED ROUTING
Corporate Finance
Institutional
Legal & Compliance
Syndicate
Training
Executive Summary
On October 29, 1997, the Securities and Exchange Commission (SEC) approved amendments that clarify the application of Rules 2710 and 2720 of the National Association of Securities Dealers, Inc. (NASD®) Conduct Rules to mergers, acquisitions,
FINRA Announces Recently Elected and Appointed National Adjudicatory Council and Small Firm Advisory Board Members
<p>Rule 2740 would not prohibit an underwriter in a fixed price offering from paying to another broker/dealer that is unable to participate in the underwriting syndicate an advisory fee or a referral fee to the extent that such payment does not directly or indirectly discount the fixed offering price for any purchaser in the offering.</p>
FINRA has created this page to provide information for the small firm community—those firms with 150 or fewer registered representatives. This page contains current and past communications, links of interest to small firms, and other information.
Pricing Disclosure in the Fixed Income Markets
Regulatory Notice
Notice Type
Request for Comment
Suggested Routing
Compliance
Legal
Operations
Senior Management
Trading
Key Topics
Fixed Income Securities
Pricing Information
Transaction Confirmations
Referenced Rules &
Last Voting Date: September 27,
SUGGESTED ROUTING
Senior ManagementCorporate FinanceLegal & ComplianceSyndicateTraining
Executive Summary
The NASD® invites members to vote on a proposed amendment to the Corporate Financing Rule under Article III, Section 44 of the Rules of Fair Practice that is intended to prohibit certain anti-dilution provisions of options, warrants, or convertible
GUIDANCE
Amendments to Rule 6740
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Form 211Rule 6740
SEC Rule 15c2-11
Executive Summary
On March 27, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 6740 relating to submission
of SEC Rule 15c2-11 information to NASD
TO: All NASD Members and Other Interested Persons
Attention: Direct Participation Programs Department
The NASD is publishing a letter issued by the Securities and Exchange Commission, providing interpretive advice with respect to the application of Rules 15c2-4 and 15c3-l to public and private offerings of direct participation programs. Rule 15c2-4 applies to offerings of securities being made
TO: All NASD Members and Other Interested Persons
The National Association of Securities Dealers, Inc. ("Association" or "NASD") is requesting comments on proposed amendments to the Corporate Financing filing requirements which would exempt from those requirements all debt and equity securities registered with the Securities and Exchange Commission ("SEC" or "
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Registration
Senior Management
Continuing Education
Firm Element
Regulatory Element
Executive Summary
The Securities Industry/Regulatory Council on Continuing Education (the Council), which has advisory and consultative responsibilities for the development, implementation,