Displaying 27961 - 27970 of 28149 Results
ACTION REQUIRED
Volume-Weighted Average Price Transactions
SUGGESTED ROUTING
KEY TOPICS
Capital Markets
Executive Representatives
Legal & Compliance
Operations
Senior Management
Trading
Conflicts of Interest
Order Handling
Supervision
Executive Summary
NASD reminds members that when executing a volume-weighted average price
INFORMATIONAL
Proxy Reimbursement Rates
Effective: Immediately
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance Senior Management
IM-2260 Proxy Reimbursement Rates
Executive Summary
NASD has adopted amendments to IM-2260 regarding rates of reimbursement for expenses incurred in forwarding proxy materials, annual reports, information statements, and other materials. The
INFORMATIONAL
Alternative Trading Systems that Trade Security Futures
Effective Date: March 31, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & ComplianceOperationsRegistered RepresentativesSenior ManagementTrading
Alternative Trading Systems (ATSs)Security Futures
Executive Summary
On January 27, 2003, the Securities and Exchange Commission (SEC) approved rule changes by NASD
GUIDANCE
Outsourcing
SUGGESTED ROUTING
KEY TOPICS
Legal and Compliance
Operations
Senior Management
Due Diligence
Outsourcing
Supervisory Responsibilities
Third-Party Service Providers
Executive Summary
NASD is aware that members are increasingly contracting with third-party service providers to perform certain activities and functions related to their business
INFORMATIONAL
Risk Management Practices
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Risk Management Practices
The Suggested Routing function is meant to aid the reader of this document. Each NASD member firm should consider the appropriate distribution in the context of its own organizational structure.
Executive Summary
The Securities and Exchange Commission
GUIDANCE
SUGGESTED ROUTINGKEY TOPICS
Legal and ComplianceOperationsSenior
ManagementService Bureaus/Providers
Form NMANew Member ApplicationsRule 1012Rule 1013Standardized Online Application Form
New Member Applications
Executive Summary
NASD is issuing this Notice to inform members and applicants for membership of amendments to Rules 1012 (General Provisions) and 1013 (New Member Application
GUIDANCE
Options Position and Exercise Limits
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Options
Senior management
Trading
Training
Exercise Limits
Hedge Exemption
Options
Position LimitsRule 2860
Executive Summary
On March 30, 2005, NASD filed for immediate effectiveness with
the Securities and Exchange Commission (SEC) amendments to Rule
2860 increasing, for
GUIDANCE
Denial of Access Complaints
Compliance Date: May 26, 2005
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Market Making
Operations
Senior Management
Trading
Access to Quotations
Alternative Display Facility
Market Regulation
Executive Summary
On March 10, 2005, the Securities and Exchange Commission (SEC)
approved on a pilot basis new NASD
GUIDANCE
Examination Fees
Implemention Date: January 1, 2005
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Registered Representatives
Senior Management
Examination Fees
Qualification Examinations
Registration
Schedule A to the NASD By-Laws
Executive Summary
NASD has filed for immediate effectiveness amendments to Section 4 of
GUIDANCE
Mutual Fund Performance Sales Material
SUGGESTED ROUTING
KEY TOPICS
Advertising
Executive Representatives
Investment Companies
Legal & Compliance
Mutual Funds
Registered Representatives
Senior Management
Mutual Fund Performance Advertising
Fees and ExpensesRule 2210Rule 2211
Executive Summary
On July 5, 2006, the Securities and Exchange Commission (SEC)
approved