Displaying 28101 - 28110 of 28149 Results
INFORMATIONALMembership Application and Continuation RulesSUGGESTED ROUTINGKEY TOPICSLegal & ComplianceMembershipSenior ManagementNew Membership ApplicationsContinuing Membership ApplicationsRule 1011Rule 1014Rule 1017Pending Arbitration Awards and ClaimsExecutive SummaryOn December 22, 2003, the Securities and Exchange Commission (SEC) approved amendments to Rules 1011, 1014, and 1017 to
REQUEST FOR COMMENT
Regulation of Compensation, Fees, and Expenses in Public Offerings of Real Estate Investment Trusts; Direct Participation Programs, Including Commodity Pools; and Closed-End Funds
Comment Period Expires March 12, 2004
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Closed-End Funds
Commodity
Amendments to NASD Rules Regarding Margin Requirements
Effective Date: December 1, 2003
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Senior Management
Margin Requirements
Regulation T
Rule 2520
Executive Summary
On August 25, 2003, the Securities and Exchange Commission (SEC) approved amendments to NASD Rule 2520.1 As
INFORMATIONAL
Temporary Cease and Desist Orders
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Senior Management
Cease and Desist Proceedings and Orders
Executive Summary
On May 23, 2003, the Securities and Exchange Commission (SEC) approved an NASD proposed rule change that gives NASD the authority to impose and enforce temporary cease and
INFORMATIONAL
Locked/Crossed Markets
Effective Date: June 5, 2000
SUGGESTED ROUTING
KEY TOPICS
Institutional
Legal & Compliance
Operations
Senior Management
Trading & Market Making
Locked/Crossed Markets
NASD Rule 4613
Executive Summary
On February 7, 2000, the Securities and Exchange Commission (SEC) approved changes to National Association of Securities Dealers,
GUIDANCE
NASD BrokerCheck
SUGGESTED ROUTING
KEY TOPICS
Legal & Compliance
Operations
Registered Representatives
Registration
Senior Management
Training
BrokerCheck
Form BD (Uniform Application for
Broker-Dealer Registration)
Form BDW (Uniform Application for
Broker-Dealer Withdrawal)
Form U4 (Uniform Application for
Securities Industry Registration or
Transfer)
Form U5 (Uniform
SEC Approves Consolidated FINRA Rule Governing Reporting Requirements
REQUEST FOR COMMENT
Proposed Amendments to Rule 2720
SUGGESTED ROUTING
KEY TOPICS
Corporate Financing
Legal & Compliance
Senior Management
Trading & Market Making
Affiliate
Conflicts of Interest
Equity & Debt Offerings
Investment Banking
Qualified Independent UnderwriterRule 2710Rule 2720
Underwriting Compensation
Executive Summary
NASD is issuing this Notice
INFORMATIONAL
Fixed Income Transaction Reporting And Dissemination
Effective Date: 180 Days After Publication Of TRACE Technical Specifications
SUGGESTED ROUTING
KEY TOPICS
Corporate Finance
Legal & Compliance
Operations
Senior Management
Technology
Trading
GUIDANCE
District Elections
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Registration
Senior Management
District Elections
Executive Summary
The purpose of this Special Notice to Members is to inform members of the upcoming nomination and election process to fill forthcoming vacancies on NASD