Displaying 27911 - 27920 of 28149 Results
GUIDANCE
Business Expansions
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Business ExpansionsIM-1011-1
Material Change in Business
OperationsRule 1017
Safe Harbor
Executive Summary
On August 7, 2006, the Securities and Exchange Commission
(SEC) approved amendments to Interpretative Material 1011-1
(Safe Harbor for Business Expansions) (IM-1011-1) to
Notice of FINRA District Committee Election and Ballots
Correction: On page 571, the second sentence under the subhead Updated Financial Information should read: "The updated information shall be prepared as of a date that is within 45 days before the interview." The online version of this Notice has been corrected.
INFORMATIONAL
Membership Rules
Effective Date: November 15, 2000
SUGGESTED ROUTING
KEY TOPICS
Legal &
REQUEST FOR COMMENT
Corporate Debt Securities
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal and Compliance
Research
Senior Management
Technology
Trading and Market Making
Training
Debt Securities
OperationsRule 6200 Series
TRACE Rules
Transaction Reporting
Executive Summary
NASD has received multiple requests to broaden the provision of
previously non-public historic Trade
FINRA Requests Comment on Enhancements Under Consideration by the Securities Industry/Regulatory Council on Continuing Education
INFORMATIONAL
Independent Research Reports
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Mutual Fund
Registered Representatives
Senior Management
Advertising And Sales Literature
NASD Rule 2210
Research Reports
Executive Summary
On January 13, 2000, the Securities and Exchange Commission (SEC) approved amendments to National Association of Securities Dealers, Inc. (NASD®)
INFORMATIONAL
Short Sales
SUGGESTED ROUTING
KEY TOPICS
Individual Investor
Internal Audit
Legal & Compliance
Operations
Senior Management
Technology
Trading & Market Making
Affirmative Determination
Internet Trading
NASD Conduct Rules 3350 and 3370
Short Sales
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the
Member firms are reminded of their obligation to file, and the due dates for, FOCUS reports, Schedule I filings, Annual Audits, Customer Complaints and Short Interest reports. The schedules in this Notice outline the due dates for year-end 2007 reports and for 2008 reports.
INFORMATIONAL
Prohibition Against Guarantees and Sharing in Customer Accounts
Effective Date: May 12, 2003
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Senior Management
Registered Representatives
Principals
REQUEST FOR COMMENT
Trading Activity Fee
Comment Period Expires October 31, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations Managers
Senior Management
NASD By-Laws
Trading Activity Fee
Executive Summary
NASD is issuing this Notice to Members to solicit comments from
members on possible changes to the Trading Activity Fee (TAF). In
2003, the Securities and Exchange Commission (