Displaying 27621 - 27630 of 28151 Results
GUIDANCE
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Rule 5100
Short Sales
Executive Summary
On October 2, 2006, the Securities and Exchange Commission
(SEC) approved an exemption to NASD Rule 5100 (Short Sale Rule)
for securities included in the NASDAQ-100 Index.
INFORMATIONAL
Dispute Resolution
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration/Mediation
Dispute Resolution
Executive Summary
NASD Dispute Resolution, Inc. (NASD DR) recently established Orlando as the third hearing location within the State of Florida. Boca Raton and Tampa will continue as hearing locations in Florida.
The Southeast Regional
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on the District Committees and
Rule 3070
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Rule 3070
Reporting Requirements
Executive Summary
On March 3, 2003, the Securities and Exchange Commission (SEC) approved SR-NASD-2002-112, a proposal to amend NASD Rule 3070 to require members promptly to file with NASD copies of certain criminal and
For Your Information
FINRA Filing Requirements and Review of Regulation A Offerings
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Transforming the Securities Industry CE Program
FINRA has adopted important changes to its continuing education (CE) and registration rules to train registered persons more effectively while accommodating registered persons whose personal circumstances take them away from the industry for a time.
LEARN MORE ABOUT CHANGES TO THE SECURITIES INDUSTRY CE PROGRAM
FINRA Small Firm Advisory Board Election
INFORMATIONALContinuing EducationSUGGESTED ROUTINGKEY TOPICSContinuing EducationLegal & ComplianceRegistrationSenior ManagementRegulatory ElementExecutive SummaryNASD is providing the Regulatory Element Supervisor Program (S201) in several new international locations. This will affect NASD's policy of granting foreign deferrals to registered supervisors and principals from the
INFORMATIONALAmendments to NASD Rule 3370, Affirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsNASD Rule 3370Short Sale Orders Executive SummaryNASD is delaying the effective date of amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "Affirmative Determination" Rule) approved by the SEC in