SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Options
Executive Summary
On February 5, 1997, in Release No. 34-38245 (Release), the Securities and Exchange Commission(SEC) amended its broker/dealer record retention rule to allow broker/dealers to employ, under certain
SUGGESTED ROUTING
Senior Management
Corporate Finance
Institutional
Legal & Compliance
Municipal
Operations
Systems
Trading
As of June 20, 1997, the following bonds were added to the Fixed Income
Effective Date: July 1, 1997
SUGGESTED ROUTING
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The following is a corrected list of the Small Order Execution SystemSM (SOESSM) tier size changes that became effective on July 1, 1997. The list of SOES tier size
SUGGESTED ROUTING
Senior Management
Corporate Finance
Legal & Compliance
Trading
Executive Summary
On July 3, 1997, in Release No. 34-38812 (SEC Release), the Securities and Exchange Commission (SEC) approved new NASD® Rule 2460 (Rule), which explicitly prohibits any payment by issuers or
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Advertising
Legal & Compliance
Mutual Fund
In the following document, NASD Regulation, Inc. (NASD RegulationSM) requests public comment concerning the potential benefits to investors of allowing the
Comment Period Expires: September 29, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests member comment on proposed amendments that would revise NASD® Conduct Rule 2830, governing the sale and
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Operations
Systems
Trading
Executive Summary
The National Association of Securities Dealers, Inc. (NASD®) has been reviewing member firm compliance with the Securities and Exchange Commission (SEC) Order Handling Rules and with Nasdaq® trading rules. We are taking this opportunity to reemphasize the application
Comment Period Expires: October 15, 1997
SUGGESTED ROUTING
Senior Management
Legal & Compliance
Mutual Fund
Executive Summary
NASD Regulation, Inc. (NASD RegulationSM) requests comment on appropriate regulation regarding the participation by members and their associated persons in
SUGGESTED ROUTING
Senior Management
Internal Audit
Legal & Compliance
Municipal
Training
Executive Summary
Under SEC approved procedures, NASD Regulation, Inc. (NASD RegulationSM) reviews member requests for exemption from the two-year prohibition of municipal securities underwriting business contained in Rule G-37 (Rule) of the Municipal Securities Rulemaking
