Guidance
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Use of Modified Corporate Name
Adequate documentation of reasonable efforts to borrow, standing alone, would not constitute a circumstance sufficient to mitigate the inability to deliver securities on settlement date where a member has relied upon an "Easy to Borrow" or "Hard to Borrow" list.
Electronic Batch Approval of New Customer Accounts.
Employee Leasing Arrangement Does Not Violate Rule 2420
Application of Rule 2820 (h) to a non-cash compensation arrangement that excludes variable annuity contracts that are sold in exchange transactions pursuant to Internal Revenue Code Section 1035 or pursuant to a rollover transaction under Internal Revenue Code Section 402.
NASD members must make an affirmative determination for all short sales prior to executing the sale (absent an exemption), including short positions not carried overnight.
Acceptance by member of referral fee payments by non-member mortgage banker is governed by Rule 3030 and other supervision rules.
Application of NASD Rule 2830(l)(5)(D) to sales contests involving sales personnel who perform marketing services.