Witryna19b-4 thereunder,2 notice is hereby given that on November 15, 2006, ... Accelerating approval will give NASD additional time to notify its members ... of the Act,11 that the proposed rule change (SR-NASD-2006-128) is hereby approved on an accelerated basis. For the Commission, by the Division of Market Regulation, pursuant to … WitrynaExchange members and persons associated with a member shall comply with FINRA Rule 4514 as if such Rule were part of the Exchange rules. (5) General 9, Section 47 The Exchange proposes to incorporate FINRA Rule 4515 by reference, indicating that Exchange members and persons associated with a member shall comply with …
SECURITIES AND EXCHANGE COMMISSION
Witryna23 sty 2003 · In issuing this Notice to Members, NASD reminds members of their obligations when selling hedge funds and funds of hedge funds, including: (1) … Witrynaimplemented on July 7, 2007.6 The recent amendment to IM-2210-4 requires an NASD member referring to its NASD membership on its Web site to provide a hyperlink to … cox communications offers gigabit fairfax
Notice to Members 07-14 FINRA.org
WitrynaNASD proposes to amend NASD Rules 1012 (General Provisions) and 1013 (New Member Application and Interview) to require an applicant for membership to submit an application in the manner prescribed by NASD. The text of the proposed rule 1 15 U.S.C. 78s(b)(1). 2 17 CFR 240.19b-4. 3 Id. Witrynacomplied with its rules for serving the NASD Rule 8210 requests and the notices in the NASD Rule 9552 proceeding. A. FINRA Provided Notice of the NASD Rule 8210 Requests in Compliance with NASD Rule 8210(d). NASD Rule 8210( d) governed how FINRA was to provide Turner with notice of the four NASD Rule 8210 requests … WitrynaRegulation NMS established substantive rules designed to modernize and strengthen the regulatory structure of the United States equities market. View SEC's spotlight on … cox communications new service phone number