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2011 Final Renewal Statements for Broker-Dealers, Investment Adviser Firms, Agents and Investment Adviser Representatives, and Branches
SUGGESTED ROUTING*
Senior Management
Legal & Compliance
Training
*These are suggested departments only. Others may be appropriate for your firm.
REQUEST FOR COMMENTS
EXECUTIVE SUMMARY
The NASD requests comments on a proposed amendment to Article III, Section 21 of the NASD Rules of Fair Practice.
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, June 21, 1988, the following 14 issues are scheduled to join the NASDAQ National Market System (NASDAQ/NMS), bringing the total number of issues in NASDAQ/NMS to 2,954:
Symbol*
Company
Location
SOES Execution
Obligation to Provide Timely, Complete and Accurate Information on Form U5
Amendments to the Arbitration Rules on Hearing Locations
Uninvested cash is a potentially valuable part of your investment portfolio. So it pays to pay attention to it, especially when interest rates move up or down. Understand the facts about your uninvested cash, the different cash management programs available and questions to ask.
Broker-Dealer, Investment Adviser Firm, Agent and Investment Adviser Representative, and Branch Renewals for 2010
(a) General
A member designated as a Restricted Firm shall be required, except as provided in paragraphs (e) and (f) of this Rule, to establish a Restricted Deposit Account and deposit in that account cash or qualified securities with an aggregate value that is not less than the member's Restricted Deposit Requirement, and shall be subject to such conditions or restrictions on the member
Dues Must Be Paid By December 15, 1995
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Registration
Executive Summary
The 1995–96 NASD® broker/dealer and agent registration renewal cycle begins in early November. This program simplifies the registration renewal process through the payment of one invoiced amount that includes fees for NASD personnel assessments, NASD
Comment Period Expires June 15, 1994
SUGGESTED ROUTING
Senior ManagementInstitutionalInternal AuditLegal & ComplianceOperationsResearchSyndicateTradingTraining
Executive Summary
The Board of Governors of the NASD is soliciting member comment on a proposed Interpretation under Article III, Section 1 of the NASD Rules of Fair Practice whereby it would be considered a violation of just and