Displaying 27731 - 27740 of 28149 Results
Member Surcharge in Arbitration
SUGGESTED ROUTING
KEY TOPICS
FinanceLegal and ComplianceSenior Management
Arbitration
Executive Summary
For arbitration claims filed on or after January 13, 2003, NASD will refund the member surcharge paid by each member firm named as a party (or where its present or former associated person has been named as a party) in an arbitration filed by a customer
GUIDANCE
Correspondence
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Legal & Compliance
Registered Representatives
Senior Management
CorrespondenceRule 2211
Executive Summary
On July 26, 2006, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule 2211, which governs NASD
member institutional sales material and correspondence.1 The
2009 Holiday Trade Date, Settlement Date and Margin Extensions Schedule
INFORMATIONAL
Erroneous Complaint Procedures
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Clearly Erroneous Complaint Procedures
NASD Rule 11890
Executive Summary
The purpose of this Notice is to reiterate the procedures for filing complaints under the National Association of Securities Dealers, Inc
Answers in Arbitration
Effective Date: October 14, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Answers
Arbitration
Dispute Resolution
Executive Summary
The Securities and Exchange Commission (SEC or Commission) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) governing Initiation of Proceedings.1 The amendments will conform Rule
GUIDANCE
Charitable Contributions
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Institutional
Internal Audit
Legal & Compliance
Registered Representatives
Senior Management
Charitable Giving
Charitable Solicitation
Executive Summary
The solicitation of substantial charitable contributions by employees
or agents of a customer acting in a fiduciary capacity raises
Treatment of Commodity Pool Trail Commissions under Rule 2810 (Direct Participation Programs Rule); Effective Date: October 12, 2004
GUIDANCE
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
Dissemination of Transaction
Information
OperationsRule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
On December 28, 2005, the Securities and Exchange Commission
(SEC or
GUIDANCEQuotation ObligationsEffective Date: March 12, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementQuotationsRule 4613A(e)(1)Executive SummaryOn March 12, 2004, the Securities and Exchange Commission (SEC) approved amendments to repeal Rule 4613A(e)(1), which requires members that display priced quotations for a Nasdaq Stock Market, Inc. (NASDAQ) security
INFORMATIONAL
Continuing Education
SUGGESTED ROUTING
KEY TOPICS
Continuing Education
Legal & Compliance
Operations
Registration
Senior Management
Continuing EducationIM-1000-2
Executive Summary
NASD Regulation, Inc. (NASD Regulation) has adopted amendments to National Association of Securities Dealers, Inc. (NASD®) IM-1000-2 to codify the staff's position regarding the