Displaying 27661 - 27670 of 28149 Results
INFORMATIONAL
Subordination Agreements
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Broker/Dealer Financial and Operations
Executive Summary
On April 26, 2001, NASD Regulation, Inc. (NASD RegulationSM) staff reported to the Board of Directors that it would: (1) discontinue publishing the "Procedures Governing the
INFORMATIONAL
Soliciting Business Internationally
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Training
Foreign Regulators
Soliciting Business
Executive Summary
Foreign regulators have informed the National Association of Securities Dealers, Inc. (NASD®) that persons associated with member firms may be soliciting business in the
FINRA Small Firm Advisory Board Election
INFORMATIONAL
Margin Disclosure Statement
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
Customer Disclosures
Margin
As described in NASD Notice to Members (NtM) 01-31 (May 2001), on April 26, 2001, the Securities and Exchange Commission (SEC) approved National Association
Notice of FINRA Small Firm Advisory Board Election and Ballots
Various updates.
INFORMATIONAL
Fingerprint Processing Fees
Implementation Date: July 15, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Fingerprint Processing Fees
NASD By-Laws
Executive Summary
This Notice supersedes NASD Notice to Members 03-39. NASD is issuing this Notice to notify members that
Continuing Education Planning
INFORMATIONAL
Decimalization
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Options
Registered Representatives
Senior Management
Technology
Trading & Market Making
Decimalization
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) and the exchanges recently submitted a decimalization plan to the Securities and Exchange Commission
INFORMATIONAL
NASD By-Laws Amendments
Effective Date: December 1, 1999
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Associated Person Definition
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary