Displaying 27821 - 27830 of 28149 Results
GUIDANCE
Predispute Arbitration Agreements
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Arbitration
Books and Records
Predispute Arbitration AgreementsRule 3110
Executive Summary
NASD Rule 3110(f) governs a member's use of predispute arbitration
agreements with customers. The Securities and Exchange
Commission (SEC) has approved changes to NASD Rule
GUIDANCE
Regulatory Element Exemptions
Effective Date: April 4, 2005
SUGGESTED ROUTING
KEY TOPICS
Continuing EducationLegal and ComplianceRegistered RepresentativesSenior Management
RegistrationTraining
Continuing EducationRegulatory ElementRule 1120
Executive Summary
On September 27, 2004, the Securities and Exchange Commission
(SEC) approved amendments to NASD Rule 1120 (Continuing
GUIDANCE
Do-Not-Call Registry
Effective Date; March 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Training
Cold Call
Do-Not-Call
Do-Not-Call RegistryRule 2212
Telemarketing
Telephone Solicitation
Executive Summary
On January 11, 2005, the Securities and Exchange Commission (SEC)
approved amendments to NASD Rule
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
FINRA Requests Comment on Financial Technology Innovation in the Broker-Dealer Industry
INFORMATIONAL
Sunset Of Large And Complex Cases Rule
Effective Date: December 31, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Arbitration
Large and Complex Cases
Executive Summary
On November 17, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®) rules that revise Rule 10334 to accelerate
For Your Information
INFORMATIONAL
Statutory Disqualification
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Eligibility and Qualification Standards
Statutory DisqualificationRule 9520 Series
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) has commenced an initiative to make publicly available the text of statutory disqualification decisions (decisions) issued by the
GUIDANCEOATS Reporting RequirementsSUGGESTED ROUTINGKEY TOPICSExecutive RepresentativesLegal & ComplianceOperationsSenior ManagementOATSRule 6950 SeriesExecutive SummaryIn Notice to Members (NtM) 04-46 (June 2004), NASD announced that, beginning December 1, 2004, members would be required to use the Combined New Order/Route and Combined New Order/ Execution Reports (Combined Reports) for
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Anti-Money Laundering
INFORMATIONAL
Anti-Money Laundering
Executive Summary
This is to inform members1 that the Financial Crimes Enforcement Network (FinCEN) has issued a final rule imposing a special measure,2 effective April 18, 2007, against Banco Delta Asia SARL, including its subsidiaries Delta Asia