Displaying 27691 - 27700 of 28149 Results
2011 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
GUIDANCE
OATS Execution Reporting Obligations
Effective Date: October 4, 2004
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Systems
Trading
OATSRule 6954(d)
Executive Summary
On April 29, 2004, the Securities and Exchange Commission (SEC) approved amendments to Rule 6954(d) to
GUIDANCE
Filing Requirements
SUGGESTED ROUTING
KEY TOPICS
Financial
Legal and Compliance
Senior Management
Annual Audits
FOCUS Reports
Schedule I
Executive Summary
Securities and Exchange Commission (SEC) Rule 17a-5 requires broker-dealers to file certain financial reports with NASD within a specified number of days following the end of the
Forum Selection Provisions Involving Customers, Associated Persons and Member Firms
SEC Approves New FINRA Rule to Address Abuses in the Allocation and Distribution of New Issues
SUGGESTED ROUTING
KEY TOPICS
Legal and ComplianceOperationsRegistered RepresentativesSenior ManagementTechnologyTradingand MarketsTraining
Debt SecuritiesOperationsRule 6200 SeriesTRACE RulesTransaction Reporting
GUIDANCE
Transaction Reporting
Executive Summary
On November 16, 2006, the Securities and Exchange Commission approved an amendment to Rule 6230 (Transaction Reporting). Effective
GUIDANCE
Discovery-Related Motions
Effective Date: September 26, 2005
SUGGESTED OUTING
KEY TOPICS
Legal & Compliance
Discovery-Related Motions
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC) has approved an amendment to Interpretive Material (IM) 10104 of the NASD Code of Arbitration Procedure (Code) to provide payment to
Notice of FINRA District Committee Elections and Ballots
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior Management
Trading
Training
Exercise Limits
Options
Position LimitsRule 2860
Executive Summary
On January 25, 2007, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to
Rule 2860 extening until September 1, 2007
GUIDANCE
Annual Compliance Meetings
Effective Date: July 25, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Annual Compliance MeetingsRule 3010
Executive Summary
On April 25, 2005, the Securities and Exchange Commission (SEC) approved amendments to Rule 3010(a)(7) to require that