Displaying 27791 - 27800 of 28149 Results
FINRA Provides Guidance on Pandemic Preparedness
REQUEST FOR COMMENT
Prohibition of Certain Bank Tying Arrangements
Comment Period Expires: October 21, 2002
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Senior Management
Investment Banking
Just and Equitable Principles of Trade
NASD Rule 2110
Discussion
NASD is concerned that the practice of tying commercial credit to investment banking is becoming
GUIDANCEOnline Arbitration Claim Filing SystemEffective Date: August 5, 2004SUGGESTED ROUTINGKEY TOPICSLegal and ComplianceArbitrationArbitratorsDispute ResolutionExecutive SummaryThe Securities and Exchange Commission (SEC) has approved amendments to Rule 10314 of the NASD Code of Arbitration Procedure (Code) to allow parties to complete part of the arbitration claim filing process through the
GUIDANCE
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsSenior Management
Clearing FirmsIntroducing FirmsNASD Rule 2342Securities Investor Protection Act of 1970 (SIPA)Securities Investor Protection Corporation (SIPC)SIPC BrochureSIPC Web Site
SIPC Information
Executive Summary
On May 10, 2007, the Securities and Exchange Commission (SEC) approved NASD Rule 2342 setting
INFORMATIONAL
Mutual Fund Performance
SUGGESTED ROUTING
KEY TOPICS
Advertising/Investment Companies
Internal Audit
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Variable Contracts
Advertising
Mutual Fund Performance
Executive Summary
Recent unusually strong equity market performance helped some mutual funds, particularly those that are heavily
SEC Approves Amendments Expanding the Definition of "TRACE-Eligible Security"
ACTION REQUIRED
Broker/Dealer And Agent Renewals
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Registration
Renewals
Web CRD
Executive Summary
The 1999-2000 renewal cycle for the National Association of Securities Dealers, Inc. (NASD®) broker/dealer and agent registration begins
GUIDANCE
Corporate Debt Securities
Effective Date: June 17, 2004
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Operations
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
OperationsRule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
On April 2, 2004, the
GUIDANCEUnit Investment Trust SalesSUGGESTED ROUTINGKEY TOPICSLegal and ComplianceOperationsSenior ManagementBreakpointsUnit Investment Trust SalesExecutive SummaryUnit Investment Trusts (UITs) that charge initial sales charges sometimes offer discounts in the sales charge based on the dollar amount or number of units of the investment. The thresholds at which the discounts are offered in the
GUIDANCEAffirmative Determination RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativeLegal & ComplianceOperationsNASD Rule 3370Short Sale RuleAffirmative DeterminationExecutive SummaryOn November 14, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rule 3370 (Prompt Receipt and Delivery of Securities—the "affirmative determination requirements