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Non-cash compensation sales contest permissible under Conduct Rule 2820(h) where member sells only one variable annuity and one variable life product and appropriate records are maintained.
A sales incentive program can combine non-conforming criteria based on sales prior to January 1, 1999 with conforming criteria based on sales subsequent to January 1, 1999 for incentives to be provided prior to June 30, 2000.
A partnership registering as a broker/dealer, which will be trading only for its own account, has no customers for purposes of Rule 2330(f).
Exemptive request denied: the OATS Rules do not provide NASD Regulation with the authority to grant exemptions from any of the OATS requirements.
The Firm Quote Rule (SEC Rule 11Ac1-1) requires a member firm to execute trades submitted to it by a firm that has exceeded its Super Cap status unless: (i) the firm had failed to settle on a trade the previous day, (ii) ACT has publicized that the firm has exceeded its Super Cap status and its clearing firm is not willing to honor the trade, or (iii) the firm's clearing firm has deleted the clearing relationship.
Scope of permissible functions of a Compliance Registered Operations Principal (CROP).
Short Sale Netting Requirements and Aggregation Units
Secondary market trading in Select Sector SPDR Funds does not violate Rule 2830(c) and (g).
NASD Rules 6950-6957 (OATS)
Clarification of application of the OATS rules.Application of Rule 2210 to the use of investment projections and marketing material when registered persons are conducting advisory services.