Displaying 27981 - 27990 of 28149 Results
INFORMATIONAL
District Elections
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice to Members (see Attachment
GUIDANCELiquefied Home EquitySUGGESTED ROUTINGKEY TOPICSLegal and ComplianceRegistered RepresentativesSenior ManagementCommunications with the PublicHome Equity Lines of CreditLeverageLiquefied Home EquityMarginMortgagesExecutive SummaryThe rapid increase in home prices over the past several years, in combination with refinancing activity by homeowners, has lead to increasing investment activity
REQUEST FOR COMMENT
Best Execution
Comment Period Expires on: August 9, 2002
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Market Making
Operations
Registered Representatives
Senior Management
Trading
Best Execution
Executive Summary
NASD requests comment from members, investors, and other interested parties on proposed amendments to NASD Rule 2320(a) (the "Best
Executive SummaryOn October 1, 2004, the Securities and Exchange Commission (SEC or Commission) approved an NASD rule filing amending the Trading Activity Fee (TAF) to reduce the TAF rate for covered equity securities, reduce the maximum per trade charge on covered equity securities, and assess the TAF on corporate debt securities that, under the Trade Reporting and Compliance Engine (TRACE)
SEC Approves New NASD Qualification Requirements for Supervisors of Research Analysts; Compliance Date: No Later Than August 2, 2005
REQUEST FOR COMMENTSubordination AgreementsComment Period Expires November 26, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsSenior ManagementAppendix D to the Net Capital RuleNet CapitalSEC Rule 15c3-1Subordination AgreementsSubordinated LoansExecutive SummaryIn 2002, NASD adopted a requirement that firms submitting subordination agreements to NASD staff for approval provide
INFORMATIONALDistrict ElectionsSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceOperationsRegistrationSenior ManagementDistrict ElectionsExecutive SummaryThe purpose of this Special Notice to Members is to announce the nominees for the District Committees and the District Nominating Committees. The individuals identified in this Special Notice (see Attachment A) have been nominated for three-
INFORMATIONALExpungementEffective Date: April 12, 2004SUGGESTED ROUTINGKEY TOPICSLegal & ComplianceRegistered RepresentativesSenior ManagementArbitrationCentral Registration Depository (CRD®)Customer Dispute InformationDispute ResolutionExpungementRule 2130Executive SummaryOn December 16, 2003, the Securities and Exchange Commission (SEC) approved new Rule 2130 concerning the expungement
IMMEDIATE ACTION REQUIRED
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Accounting
Operations
Retail
Mutual Funds
Mutual Fund Breakpoints
Customer Refunds
Net Capital Compliance
Background
In late 2002, as a result of several routine examinations, NASD discovered that some members had failed to deliver
INFORMATIONAL
Quotation Reporting
Effective Date: June 27, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Technology
Trading And Market Making
Market Making
OTC Securities
Recording And Reporting Quotation Data
Executive Summary
On March 27, 2003, the Securities and Exchange Commission (SEC