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Applicability of NASD Rules to registered representatives of subsidiary bank of member broker/dealer.
Requirements of member firms to establish a schedule for and conduct inspections of Offices of Supervisory Jurisdiction and branch offices.
Minimum requirements under NASD Rule 3010 if a member centralizes its supervisory oversight function over the firm's employees who are both acting as registered representatives and as investment advisers.
The applicability of NASD Rule 3040 to situations in which associated persons are proposing to receive selling compensation.
Applicability of NASD Rule 3070 to the operations of a mutual fund and variable product distributor broker/dealer.
Applicability of NASD Rule 3070 to the operations of a mutual fund variable product distributor broker/dealer with a separately registered transfer agent.
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