Displaying 27841 - 27850 of 28149 Results
INFORMATIONAL
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance Legal and Compliance Operations Senior Management Technology Trading and Market Making Training
Debt Securities Dissemination OperationsRule 6200 Series Transaction Reporting
Executive Summary
On January 31, 2003, the Securities and Exchange Commission (SEC or Commission) approved an amendment to
Upcoming FINRA Board of Governors Election of a Small Firm and Large Firm Governor
INFORMATIONAL
OATS
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Senior Management
Order Audit Trail System
Executive Summary
NASD Regulation, Inc. (NASDR) is issuing this Notice to Members as part of
• Extended Hours Trading Risk Disclosure—Failure to Comply With Rule Requirements
• Anti-Intimidation/Coordination—Failure to Comply With Rule Requirements
• Backing Away
• Best Execution—Failure to Comply With Requirements for Best Execution
• ECN Display Rule—Failure to Comply With Rule Requirements
• Failure to Display Minimum Size in NASDAQ Securities, CQS
GUIDANCE
NAC Nominations
Nomination Deadline: August 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
National Adjudicatory Council
Executive Summary
The purpose of this Special Notice to Members is to advise members of the nomination procedures to fill one upcoming vacancy on the National Adjudicatory Council (NAC
Upcoming Election to Fill FINRA District Committee Vacancies
GUIDANCE
Foreign Hearing Locations
Effective Date: June 6, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Arbitration
Dispute Resolution
Foreign Hearing Locations
Executive Summary
The Securities and Exchange Commission (SEC) has approved
amendments to IM-10104 and Rule 10315 of the NASD Code of
Arbitration Procedure (Code) to permit parties to have their
hearings in a
GUIDANCE
Issues Relating to the SEC's Adoption
of Regulation SHO
SUGGESTED ROUTING
KEY TOPICS
Internal Audit
Legal & Compliance
Operations
Registered Representatives
Senior Management
Systems
Trading
Training
Order Audit Trail System (OATS)
Order Marking
SEC Regulation SHO
Short Sales
Executive Summary
NASD, in conjunction with The Nasdaq Stock Market, Inc. (NASDAQ),
is
GUIDANCE
Supervisory Controls
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Senior Management
Trading
Institutional Securities ActivitiesRule 3012
(Supervisory Control System)Rule 3010 (Supervision)
Supervisory Control Procedures
Written Supervisory Procedures
Executive Summary
On September 30, 2004, the Securities and Exchange
REQUEST FOR COMMENT
Principal Pre-Use Approval of Member
Correspondence
Comment Period Expires May 27, 2005
SUGGESTED ROUTING
KEY TOPICS
Advertising
Investment Companies
Legal & Compliance
Registered Representatives
Senior Management
Variable Contracts
Advertising
Communications with the Public
NASD Rules 2211 and 3010
Executive Summary
NASD currently defines correspondence to